Minutes of the Board of Regents of Stephen F. Austin State University. 2012, Volume No. 278

Stephen F. Austin
State University
MINUTES OF THE
BOARD OF REGENTS
Nacogdoches, Texas
October 21 and 22, 2012
Volume 278
TABLE OF CONTENTS
BOARD MINUTES FOR OCTOBER 21 AND 22, 2012
MEETING 278
Page
APPROVAL OF MINUTES
Board Order 13-01
Approval of July 17-18, 2012 and August 11, 2012, Minutes .............................................3
PERSONNEL
Board Order 13-02
Faculty Appointments for 2012-2013 ..................................................................................3
Staff Appointments for 2012-2013 ......................................................................................5
Changes of Status for 2012-2013 .........................................................................................7
Promotions ....................................................................................................................12
Retirements ....................................................................................................................12
ACADEMIC AND STUDENT AFFAIRS
Board Order 13-03
Curriculum Changes in Kinesiology ..................................................................................12
Approval of Academic and Student Affairs Policy Revisions...........................................13
BUILDING AND GROUNDS
Board Order 13-04
Selection of an Engineering Firm for a Campus Hydrology Study ...................................13
Music Recital Hall Renovation ..........................................................................................14
Approval of Building and Grounds Policy Revisions........................................................14
FINANCIAL AFFAIRS
Board Order 13-05
Acknowledge Receipt of Audit Services Report ...............................................................15
Approval of Annual Audit Plan, Audit Charter and Report ..............................................15
Educational Leadership Scholarship Program ...................................................................15
Grant Awards ....................................................................................................................16
Approval of Financial Affairs Policy Revisions ................................................................16
REPORTS
President
Chair of the Faculty Senate
President of the Student Government Association
Appointment of Nominating Committee for 2013-24 Board Officers
APPENDICES
Appendix 1 – Internal Audit Charter
Appendix 2 – Grant Awards
Appendix 3 – Policy Revisions
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Stephen F. Austin State University
Minutes of the Meeting of the Board of Regents
Nacogdoches, Texas
October 21 and 22, 2012
Austin Building 307
Meeting 278
Sunday, October 21, 2012
The regular meeting of the Board of Regents was called to order in open session at 1:35
p.m. Sunday, October 21, 2012, in the Austin Building Board Room by Chair Bob
Garrett.
PRESENT:
Board Members: Mr. Bob Garrett, Chair
Mr. Carlos Amaral
Dr. Scott Coleman
Mr. James Dickerson
Ms. Jourdan Dukes
Ms. Brigettee Henderson
Mr. Steve McCarty
Mr. Ken Schaefer
Mr. Ralph Todd
Ms. Connie Ware
President: Dr. Baker Pattillo
Vice-Presidents: Dr. Richard Berry
Mr. Danny Gallant
Mr. Steve Westbrook
General Counsel: Mr. Damon Derrick
Other SFA administrators, staff, and visitors
The Building and Grounds Committee convened at 1:35 p.m. and adjourned at 4:00 p.m.
The Finance and Audit Committee convened at 4:00 p.m. and adjourned at 4:45 p.m. The
Academic and Student Affairs Committee convened at 4:45 p.m. and adjourned at 5:28
p.m.
The chair called for an executive session at 5:37 p.m. to consider the following items:
Deliberations Regarding the Purchase, Exchange, Lease, Sale or Value of Real Property
(551.072)
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Consideration of Individual Personnel Matters Relating to Appointment, Employment,
Evaluation, Assignment, Duties, Discipline, or Dismissal of an Officer or Employee,
including but not limited to the director of marketing and public affairs, the president and
the vice presidents (551.074)
Deliberations Regarding the Deployment, or Special Occasions for Implementation, of
Security Personnel or Devices (551.076)
Consultation with Attorney Regarding Legal Advice or Pending and/or Contemplated
Litigation or Settlement Offers, including but not limited to EEOC filings, In Re: Dr. and
Mrs. J.E. Watkins Scholarship Trust, Jacob Duffee v. Baker Pattillo, et al., Christian
Cutler v. Baker Pattillo, et al., and Progressive County Mutual Insurance Company v.
SFASU (551.071)
The executive session ended at 7:52 p.m. and the board meeting was recessed for the
evening with no further action.
Monday, October 22, 2012
The chair reconvened the board meeting in open session at 9:00 a.m. on Monday,
October 22, 2012.
PRESENT:
Board Members: Mr. Bob Garrett, Chair
Mr. Carlos Amaral
Dr. Scott Coleman
Mr. James Dickerson
Ms. Jourdan Dukes
Ms. Brigettee Henderson
Mr. Steve McCarty
Mr. Ken Schaefer
Mr. Ralph Todd
Ms. Connie Ware
President: Dr. Baker Pattillo
Vice-Presidents: Dr. Richard Berry
Mr. Danny Gallant
Mr. Steve Westbrook
General Counsel: Mr. Damon Derrick
Other SFA administrators, staff, and visitors
Student Regent Dukes led the pledge to the flags and Regent Coleman provided the
invocation.
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RECOGNITIONS
Danny Gallant introduced Jake Squires from the Burke Center, who presented to
Bridgettee Henderson a plaque thanking the university for assistance in transitioning the
Burke Center’s facilities. Dr. Berry introduced representatives from the SFA Press, who
made a presentation of a recently published book. Rose Bruford exchange students were
introduced. Piero Fenci, Professor of Art, was recognized for being designated as a Texas
Master by the Houston Center for Contemporary Craft. The SFA Bass Club was
introduced by Dr. Westbrook. Special guests Travis Clardy, state representative-elect,
and Robin Land, new publisher and editor of the Daily Sentinel, were welcomed.
APPROVAL OF MINUTES
BOARD ORDER 13-01
Upon motion by Regent McCarty, seconded by Regent Amaral, with all members voting
aye, it was ordered that the minutes of the July 17 and 18, 2012, regular meeting of the
Board of Regents and the August 11, 2012, special meeting of the Board of Regents be
approved as presented.
PERSONNEL
BOARD ORDER 13-02
Upon motion by Regent Amaral, seconded by Regent Todd, with all members voting aye,
it was ordered that the following personnel items be approved.
FACULTY APPOINTMENTS FOR 2012 – 2013
BUSINESS
Justin Blount, Assistant Professor of Business Communications and Legal Studies, J.D.
(Baylor Law School), at an academic year salary of $78,000 for 100 percent time,
effective January 1, 2013.
H. Banker Phares, Senior Lecturer of Economics and Finance, J.D. (Southern Methodist
University), at an academic year salary of $60,000 for 100 percent time, effective
September 1, 2012.
Kyle Post, Assistant Professor of Business Communications and Legal Studies, J.D.
(Arizona State University), at an academic year salary of $78,000 for 100 percent time,
effective January 1, 2013.
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Nikki Shoemaker, Instructor of Accounting, M.P.A. (Stephen F. Austin State University),
at an academic year salary of $100,000 for 100 percent time, effective September 1,
2012, contingent upon completion of doctorate by August 31, 2015.
EDUCATION
Bryan Scott Bailey, Assistant Professor of Secondary Education and Educational
Leadership, Ed.D. (Stephen F. Austin State University), at an academic year salary of
$53,000 for 100 percent time, effective September 1, 2012.
Kelli, Drenner, Assistant Professor of Kinesiology and Health Science, Ph.D. (University
of Texas), at an academic year salary of $52,000 for 100 percent time, effective
September 1, 2012.
William Dwyer, Visiting Assistant Professor of Secondary Education and Educational
Leadership, Ed.D. (University of Florida), at an academic year salary of $51,000 for 100
percent time, effective September 1, 2012.
Sheila Lumar, Visiting Assistant Professor of Human Sciences, Ph.D. (Texas Woman’s
University), at an academic year salary of $47,500 for 100 percent time, effective
September 1, 2012.
FINE ARTS
Jeffery Brewer, Visiting Assistant Professor of Art, M.F.A. (Stephen F. Austin State
University), at an academic year salary of $41,000 for 100 percent time, effective
September 1, 2012.
Deitra Davis, Visiting Assistant Professor of Art, Ph.D. (Mississippi State University), at
an academic year salary of $42,000 for 100 percent time, effective September 1, 2012.
FORESTRY AND AGRICULTURE
Stacie Appleton, Assistant Professor of Agriculture, Ph.D. (Texas A&M University), at
an 11-month salary of $67,500 for 100 percent time, effective September 1, 2012.
John Mehaffey, Assistant Professor of Agriculture, Ph.D. (Texas Tech University), at an
academic year salary of $56,500 for 100 percent time, effective September 1, 2012.
LIBERAL AND APPLIED ARTS
Patricia Foster, Visiting Instructor of Psychology, M.A. (Stephen F. Austin State
University), at an academic year salary of $43,000 for 100 percent time, effective
September 1, 2012.
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Matthew Gailliot, Visiting Assistant Professor of Psychology, Ph.D. (Florida State
University), at an academic year salary of $45,000 for 100 percent time, effective
September 1, 2012.
Candice Kowalski, Lecturer of Psychology, B.S. (Stephen F. Austin State University), at
an academic year salary of $34,000 for 100 percent time, effective September 1, 2012.
SCIENCES AND MATHEMATICS
Angel Brewer, Clinical Instructor of Nursing, M.S. (Grand Canyon University), at an
academic year salary of $54,000 for 100 percent time, effective September 1, 2012.
Debra McCarthy, Clinical Instructor of Nursing, M.S. (University of Texas), at an
academic year salary of $54,000 for 100 percent time, effective September 1, 2012.
Volha Minich, Lecturer of Biology, M.S. (Stephen F. Austin State University), at an
academic year salary of $39,500 for 100 percent time, effective September 1, 2012.
Marcia Nelson, Clinical Instructor of Nursing, M.S. (Stony Brook University), at an
academic year salary of $54,000 for 100 percent time, effective September 1, 2012.
David Smith, Clinical Instructor of Nursing, M.S.N. (Western Governors University), at
an academic year salary of $54,000 for 100 percent time, effective September 1, 2012.
Katy Trotty, Clinical Instructor of Nursing, B.S.N. (Stephen F. Austin State University),
at an academic year salary of $42,000 for 100 percent time, effective September 1, 2012.
STAFF APPOINTMENTS FOR 2012 – 2013
ALUMNI AFFAIRS
Judith Barroeta, Coordinator of Alumni Marketing and Communications, at an annual
salary of $38,500 for 100 percent time, effective August 13, 2012.
ATHLETICS
Steven Condon, Athletic Trainer, at an annual salary of $39,609 for 100 percent time,
effective August 6, 2012.
Jeremy Moses, Assistant Football Coach, at 10.5-month salary of $35,000 for 100 percent
time, effective July 30, 2012.
Stephanie Wooten, Head Tennis Coach, at a 10.5-month salary of $40,000 for 100
percent time, effective July 2, 2012.
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CAMPUS RECREATION
Scott Wagner, Assistant Director – Facility and Member Services, at an annual salary of
$42,000 for 100 percent time, effective October 1, 2012.
CONTROLLER’S OFFICE
Jacqueline Cornelius-Tomsic, Accountant II, at an annual salary of $44,000 for 100
percent time, effective September 4, 2012.
EDUCATION
Monique Nunn, Project Director for Deep East Texas P-16 Regional Council, at an
annual salary of $29,250 for 75 percent time, effective September 10, 2012
Ragan Philliber, Charter School Teacher, at a 10.5-month salary of $38,100 for 100
percent time, effective September 1, 2012.
Juliana Rodriguez-Akerson, Charter School Teacher, at a 10.5-month salary of $45,900
for 100 percent time, with an additional stipend of $108.33 per month for 10.5 months,
effective September 1, 2012.
Nola Schmidt, Project Director of CONFIANZA, at an annual salary of $65,000 for 100
percent time, effective August 24, 2012.
FINE ARTS
Robbie Goodrich, Director of Arts Information, at an annual salary of $45,000 for 100
percent time, effective September 1, 2012.
HEALTH SERVICES
Ann Drayman, Nurse Practitioner, at a 10.5-month salary of $80,000 for 100 percent
time, effective August 1, 2012.
RESEARCH AND SPONSORED PROGRAMS
Beverly Morehouse, Grants and Contract Specialist, at an annual salary of $55,400 for
100 percent time, effective September 17, 2012.
RESIDENCE LIFE
Stephanie Ballard, Hall Director, at an annual salary of $28,250 for 100 percent time,
effective July 2, 2012.
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Ryan Brinkman, Hall Director, at an annual salary of $28,167 for 100 percent time,
effective July 30, 2012.
Erin Ellis, Hall Director, at an annual salary of $28,167 for 100 percent time, effective
August 6, 2012.
Yvonne Hinshaw, Hall Director, at an annual salary of $28,250 for 100 percent time,
effective August 6, 2012.
Kiet Le, Area Coordinator, at an annual salary of $32,000 for 100 percent time, effective
July 23, 2012.
Nechele McClinton, Hall Director, at an annual salary of $28,250 for 100 percent time,
effective July 23, 2012.
Jeremie Middleton, Hall Director, at an annual salary of $28,250 for 100 percent time,
effective July 16, 2012.
STUDENT PUBLICATIONS
Julie Akers, Coordinator of Student Publications, at an annual salary of $33,800 for 100
percent time, effective August 20, 2012.
CHANGES OF STATUS FOR 2012 – 2013
BUSINESS
Stephen Bradley, from Instructor and Assistant Director of Computer Science Lab at an
academic year salary of $51,288 for 100 percent time, to Business Technology
Coordinator at an annual salary of $60,000 for 100 percent time, effective September 1,
2012.
Deborah D. Dufrene, from Professor and Associate Dean of Rusche College of Business
at an annual salary of $126,000 for 100 percent time, to Professor and Associate Dean of
Rusche College of Business at an annual salary of $126,000 for 100 percent time, with an
additional stipend of $1167 per month for two months for additional duties, effective July
16, 2012.
Jack Ethridge, from Professor of Accounting at an academic year salary of $108,150 for
100 percent time, to Professor of Accounting and Interim MPA Director, at an academic
year salary of $108,150 for 100 percent time, with an additional stipend for interim duties
of $250 per month for five months, effective August 1, 2012.
Geralyn Franklin, from Professor and Associate Dean of Rusche College of Business at
an annual salary of $126,000 for 100 percent time, to Professor and Interim Dean of
Rusche College of Business, at an annual salary of $126,000 for 100 percent time, with
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an additional stipend for interim duties of $3,250 per month for two months, effective
July 16, 2012.
Mikhail Kouliavtsev, from Associate Professor of Economics and Finance at an academic
year salary of $80,340 for 100 percent time, to Associate Professor of Economics and
Finance and Interim MBA Director, at an academic year salary of $80,340 for 100
percent time, with an additional stipend for interim duties of $800 per month for five
months, effective August 1, 2012.
Michael Stroup, from Professor of Economics and Finance at an academic year salary of
$98,515 for 100 percent time, to Professor of Economics and Finance and Interim
Director of School of Accountancy, at an academic year salary of $98,515 for 100
percent time, with an additional stipend for interim duties of $750 per month for five
months, effective August 1, 2012.
Laura Turner, from Academic Advisor at an annual salary of $36,000 for 100 percent
time, to Academic Advisor with an annual salary of $36,000 for 100 percent time, with
an additional stipend of $500 per month for interim assignment for two months, effective
July 16, 2012.
CAMPUS RECREATION
Travis Lankford, from casual employee in Campus Recreation at an annual salary of
$28,598 for 100 percent time to Coordinator of Campus Recreation-Sports Clubs and
Camps at an annual salary of $32,000 for 100 percent time, effective September 24, 2012.
CAREER SERVICES
Binta Brown, from Counselor in Counseling and Career Services at an annual salary of
$42,242 for 100 percent time, to Director of Career Services at an annual salary of
$52,000 for 100 percent time, effective August 1, 2012.
Brandi Hampton, from Administrative Assistant in Counseling and Career Services at an
annual salary of $30,255 for 100 percent time, to Coordinator of Career Services at an
annual salary of $35,000 for 100 percent time, effective August 16, 2012.
COUNSELING SERVICES
Jennifer Klingenberg, from Counselor in Counseling and Career Services at an annual
salary of $41,200 for 100 percent time, to Counselor with a change in job assignment at
an annual salary of $42,363 for 100 percent time, effective September 1, 2012.
John Mlinar, from Counselor of Career Services and Research Coordinator at an annual
salary of $41,200 for 100 percent time, to Counselor Intern and Research Coordinator at
an annual salary of $41,200 for 100 percent time, effective September 1, 2012.
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DISABILITY SERVICES
Margaret Hilton, from Staff Interpreter and Coordinator of Deaf and Hard-of Hearing
Services at an annual salary of $39,433 for 100 percent time, to Senior Interpreter and
Coordinator of Deaf and Hard-of-Hearing Services at an annual salary of $44,000 for 100
percent time, effective September 1, 2012.
Tiffany Rivers, from Assistant Director of Disability Services at an annual salary of
$52,290 for 100 percent time, to Director of Disability Services at an annual salary of
$63,000 for 100 percent time, effective July 17, 2012.
EDUCATION
Barbara Davis, from Director of Project Gear Up at an annual salary of $79,463 for 100
percent time, to Director of Project Gear Up with changes in job assignment at an annual
salary of $81,847 for 100 percent time, effective September 1, 2012.
Sandra Delgado, from Associate Director of Project CTE at an annual salary of $75,000
for 100 percent time, to Associate Director of Project CTE with changes in job
assignment at an annual salary of $76,500 for 100 percent time, effective September 1,
2012.
Brenda Hill, from Associate Director of Project Gear Up at an annual salary of $73,360
for 100 percent time, to Associate Director of Project Gear Up with change in job
assignment at an annual salary of $73,490 for 100 percent time, effective September 1,
2012.
Cyndra Krogen-Morton, from Adjunct Faculty in Kinesiology and Health Science at a
five-month salary of $7,500 for 75 percent time, to Visiting Lecturer of Kinesiology and
Health Science, at an academic year salary of $45,000 for 100 percent time, effective
September 1, 2012.
Raquel Skidmore, from Administrative Assistant at an annual salary of $32,400 for 100
percent time, to Academic Advisor at an annual salary of $36,500 for 100 percent time,
effective July 16, 2012.
FINE ARTS
Scott Harris, from Associate Professor of Music at an academic year salary of $56,830
for 100 percent time, to Associate Professor of Music and Interim Director of the School
of Music, at an annual salary of $56,830 for 100 percent time with an additional stipend
for interim duties of $2,579 per month, effective September 1, 2012.
John Roberts, from Professor of Music and Director of the School of Music, at an annual
salary of $97,000 for 100 percent time, to Professor of Music at an academic year salary
of $75,000 for 100 percent time, effective September 1, 2012.
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FORESTRY AND AGRICULTURE
Jason Grogan, from Research Specialist for Temple Project, at an annual salary of
$46,000 for 100 percent time, to Research Specialist for Temple Project with changes in
current job assignment at an annual salary of $47,380 for 100 percent time, effective
September 1, 2012.
Paul Weatherford, from Laboratory Associate-Waters of East Texas, at an annual salary
of $42,436 for 100 percent time, to Laboratory Associate-Soils Lab, at an annual salary
of $43,709 for 100 percent time, effective September 1, 2012.
LIBERAL AND APPLIED ARTS
Paul Bellinger, from Assistant Professor of Government at an academic year salary of
$46,000 for 100 percent time, to Instructor of Government at an academic year salary of
$43,000 for 100 percent time, effective September 1, 2012.
Julie Brotzen, from Adjunct Faculty in Psychology at an academic year salary of $28,840
for 100 percent time, to Lecturer of Psychology at an academic year salary of $31,000 for
100 percent time, effective September 1, 2012.
Michael Martin, from Associate Professor of English at an academic year salary of
$54,024 for 100 percent time, to Associate Professor and Director of the Division of
Multidisciplinary Programs at an annual salary of $85,500 for 100 percent time, effective
September 1, 2012.
Brook Poston, from Assistant Professor of History at an academic year salary of $46,000
for 100 percent time, to Instructor of History at an academic year salary of $43,000 for
100 percent time, effective September 1, 2012.
MULTICULTURAL CENTER
Amanda Flores, from Assistant Director of Multicultural Center at an annual salary of
$39,140 for 100 percent time, to Interim Director of Multicultural Center at an annual
salary of $39,140 for 100 percent time with an additional stipend for interim duties of
$500 per month for five months, effective August 15, 2012.
PUBLIC AFFAIRS AND MARKETING
Shirley Luna, from Interim Executive Director of Public Affairs and Marketing at an
annual salary of $63,502 for 100 percent time with an additional monthly stipend of
$2,000, to Executive Director of Public Affairs and Marketing at an annual salary of
$107,000 for 100 percent time, effective October 23, 2012.
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RESIDENCE LIFE
Amy Tedesco, from Hall Director at an annual salary of $28,000 for 100 percent time, to
Area Coordinator at an annual salary of $32,000 for 100 percent time, effective July 1,
2012.
SCIENCES AND MATHEMATICS
Lurah Bryant, from Assistant Director of Piney Woods Area Health Education Center at
an annual salary of $38,000 for 100 percent time, to Assistant Director of Piney Woods
Area Health Education Center with a change in job assignment at an annual salary of
$39,170 for 100 percent time, effective September 1, 2012.
Kimberly Childs, from Dean of College of Sciences and Mathematics at an annual salary
of $143,500 for 100 percent time, to Dean of the College of Sciences and Mathematics
with additional STEM Center responsibilities at an annual salary of $169,404 for 100
percent time, effective September 1, 2012.
Mike Janusa, from Professor and Chair of Chemistry at an annual salary of $108,291 for
100 percent time, to Professor and Chair of Chemistry and Interim Director of Science
Research Center at an annual salary of $108,291 for 100 percent time, with an additional
stipend for interim duties of $1,000 per month, effective September 1, 2012.
Deborah Pace, from Professor and Chair of Mathematics and Statistics at an annual salary
of $106,198 for 100 percent time, to Professor and Chair of Mathematics and Statistics
and Interim Associate Dean of the College of Sciences and Mathematics at an annual
salary of $106,198 for 100 percent time, with an additional stipend for interim duties of
$1,000 per month, effective September 1, 2012.
Randall Scott, from Director of Piney Woods Area Health Education Center at an annual
salary of $52,000 for 100 percent time, to Director of Piney Woods Area Health
Education Center with a change in job assignment at an annual salary of $53,560 for 100
percent time, effective September 1, 2012.
Mavis Yarbrough, from Coordinator-Piney Woods Area Health Education Center at an
annual salary of $32,000 for 100 percent time, to Coordinator-Piney Woods Area Health
Education Center with change in job assignment at an annual salary of $32,960 for 100
percent time, effective September 1, 2012.
STUDENT AFFAIRS
Lacey Claver, from Assistant Coordinator of Student Activities Programs at an annual
salary of $34,051 for 100 percent time, to Coordinator of Student Activities at an annual
salary of $38,000 for 100 percent time, effective September 1, 2012.
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James Maple, from Head Coach Pom Squad at an annual salary of $24,585 for 100
percent time, to Head Spirit Coach at an annual salary of $28,000 for 100 percent time
with an additional stipend of $400 per month, effective September 1, 2012.
Jason Williams, from Assistant Coordinator of Spirit Programs at an annual salary of
$12,999 for 50 percent time, to Head Spirit Coach at an annual salary of $28,000 for 100
percent time, effective July 9, 2012.
PROMOTIONS
Gene Moon was granted promotion to Assistant Professor Music, effective fall semester,
2012.
RETIREMENTS
The following retirements were accepted:
Joe Gotti, Professor of Agriculture, effective August 31, 2012
Gary Frields, Professor of Art, effective August 31, 2012
Sylvia Bierschenk, Director of Arts Information, August 31, 2012
Judith Lauter, Professor of Human Services, August 31, 2012
Michael Rustad, Supervisor of Building Trades, August 31, 2012
ACADEMIC AND STUDENT AFFAIRS
BOARD ORDER 13-03
Upon motion by Regent Henderson, seconded by Regent Todd, with all members voting
aye, it was ordered that the following academic and student affairs items be approved.
CURRICULUM CHANGES IN KINESIOLOGY
WHEREAS, the board considered the following: Changes in curriculum originate in the
department and are reviewed by the college and university curriculum committees, the
graduate council, the appropriate dean and the provost and vice president for academic
affairs. After approval by the Board of Regents, curriculum changes are submitted to the
Texas Higher Education Coordinating Board.
THEREFORE, the Board of Regents approved the following undergraduate curriculum
changes:
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BS in Kinesiology, Fitness and Human Performance Studies, Modify Program
BS in Kinesiology, Fitness and Human Performance Studies, New Minor
ACADEMIC AND STUDENT AFFAIRS POLICY REVISIONS
The Board of Regents adopted the following policy revisions as presented in Appendix 3:
Authority for Official Statements (D-6)
Authorization for University President to Suspend Faculty and Staff (D-8)
Bookstore Textbook Orders (F-4)
Continuing Education (A-32)
Faculty/Staff Athletic Ticket Purchases (F-12)
Food Services (C-13.5)
Guest Speaker (F-15)
Mail Services (F-18)
Notary Public (F-21)
Organized Work Stoppage (E-34)
Reduction in Force of Non-Academic Employees (E-41N)
Selection of Vice Presidents, Athletic Director and Head Coaches (D-30.1)
Sick Leave (E-47)
Sick Leave Pool (E-47.1)
Student Center Operations (B-29)
Students Displaying Serious Psychological Problems (D-35)
Student Records (D-13)
Ticket Office Services (F-30)
BUILDING AND GROUNDS
BOARD ORDER 13-04
Upon motion by Regent McCarty, seconded by Regent Amaral, with all members voting
aye, it was ordered that the following building and grounds items be approved.
SELECTION OF AN ENGINEERING FIRM FOR A CAMPUS HYDROLOGY
STUDY
WHEREAS, the board considered the following: The SFA Campus Master Plan contains a
campus well distribution initiative and university’s 2012-13 Capital Plan includes a
campus hydrology study project. In order to conduct the study, a request for engineering
qualifications was issued. The university reviewed the submissions and developed a set
of finalists for presentation to the Board of Regents. The three finalist firms of Alan
Plummer Associates, Inc., Freese and Nichols, and KSA Engineers were interviewed by
the Building and Grounds Committee at its meeting on October 21, 2012; the Building
and Grounds Committee recommended Freese and Nichols as the most qualified firm
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with which to begin negotiations for a campus hydrology study to assess the water needs
of the university.
THEREFORE, the Board of Regents authorized the university to begin negotiations with
Freese and Nichols for a campus hydrology study at a cost not to exceed $150,000 and
that the president be authorized to sign all contracts. Designated funds will be used for
the study.
MUSIC RECITAL HALL RENOVATION
WHEREAS, the board considered the following: The Music Recital Hall serves as a
performance venue for SFA music students and guest artists as well as a teaching facility
for courses in the music major and in the core curriculum. The recital hall was treated
only superficially in the music building renovation of 1998 and it still uses the basic
lighting system it has had since original construction in 1969. The room needs substantial
renovation to make it consistent in appearance and quality with the rest of the Tom and
Peggy Wright Music Building. The Development Office has solicited and received
approximately $90,000 in gifts to support the needed renovation and lighting system
upgrade and will continue to solicit donations for this project. The total project cost will
not exceed $170,000.
THEREFORE, the board of Regents authorized the Music Recital Hall Renovation Project
as presented at a cost not to exceed $170,000. The higher education fund (HEF) and
designated funds will be used to supplement the total donations that have been committed
to the project.
BUILDINGS AND GROUNDS POLICY REVISIONS
The Board of Regents adopted the following policy revisions as presented in
Appendix 3:
Assembly and Demonstrations (D-23)
Camp and Conference Reservations (B-4)
Campus Facilities for Political Purposes (B-5)
Vending (F-31)
FINANCIAL AFFAIRS
BOARD ORDER 13-05
Upon motion by Regent Coleman, seconded by Regent Schaefer, with all members
voting aye, it was ordered that the following financial items be approved.
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ACKNOWLEDGE RECEIPT OF AUDIT SERVICES REPORT
WHEREAS, the board considered the following: The Board Rules and Regulations state
that the director of audit services shall assist the board in carrying out its oversight
responsibilities as they relate to the university’s a) financial and other reporting practices,
b) internal control, and c) compliance with laws, regulations and ethics. The director of
audit services reports to the Board of Regents on the status of the annual audit plan,
internal external reports, risk assessment and audit/compliance issues. The audit services
report as presented includes an audit of university bank reconciliations, departmental
audit of the development office, annual follow up review and update on annual audit
plan.
THEREFORE, the Board of Regents acknowledged receipt of the audit services report, as
presented.
APPROVAL OF ANNUAL AUDIT PLAN, AUDIT CHARTER AND REPORT
WHEREAS, the board considered the following: According to the Rules and Regulations of
the Board of Regents, the director of audit services shall annually submit information on
the annual audit plan, work schedule and staffing plan to the president for his review and
to the Board of Regents for their approval. The director shall submit an annual report as
required by Art. 6252-5d, V.T.C.S., recodified at Government Code, Chapter 2101. The
annual report shall be submitted to the president and the board for review prior to public
dissemination.
In addition, the International Standards for the Professional Practice of Internal Auditing
require the internal audit charter to be approved on an annual basis. It is included as
Appendix 1.
THEREFORE, the Board of Regents approved the annual audit plan and the audit charter
for 2012-13 and acknowledged the 2011-12 audit report, as presented.
EDUCATIONAL LEADERSHIP SCHOLARSHIP PROGRAM
WHEREAS, the board considered the following: In order to increase enrollment of working
professionals and compete with sister institutions in Texas, SFA piloted a scholarship
program for master’s students in the online educational leadership degree program. The
response to the pilot scholarship program has been very successful. Graduate enrollment
in the degree program has increased 79%. Since Fall 2011 the program has added 279
new students.
THEREFORE, it was ordered that the educational leadership scholarship program continue.
The program will continue to be monitored. Designated funds will be used to fund the
scholarship program.
-16-
GRANT AWARDS
WHEREAS, the board considered the following:
Fiscal year 2012 - The university received multi-year grant awards totaling $50,272,318
that included funds allocable to fiscal year 2012. This includes $174,821 in new awards
since the last report. Of the multi-year total, grant awards allocable to fiscal year 2012
were $12,652,558, an increase of $75,789 since the last report.
Fiscal year 2013 - To date, the university has received multi-year grant awards totaling
$22,046,715 that include funds allocable to fiscal year 2013. This includes $1,644,330 in
new awards since the last report. Of the multi-year total, grant awards allocable to fiscal
year 2013 are $6,789,746.
The grant awards result from extensive faculty research and service engagement across
many academic disciplines. The grants include direct federal, federal pass through, state
and private awards.
THEREFORE, the Board of Regents approved and ratified the additional grant awards
allocable to fiscal year 2012 that total $75,789 and additional grant awards allocable to
fiscal year 2013 that total $6,789,746. This includes approval of a $100,000 subaward to
Texas State University to review the pilot program activities of the STEPS project,
funded through the Texas Higher Education Coordinating Board. The grant awards are
detailed in Appendix 2.
FINANCIAL POLICY REVISIONS
The Board of Regents adopted the following policy revisions as presented in Appendix 3:
Fraud (C-46)
Private Support Organizations or Donors (D-25.5)
Receipts and Deposits (C-5)
Risk Management (E-43.5)
Student Fiscal Appeals (C-57)
REPORTS
President Baker Pattillo presented a report on the following:
Upcoming Dates
Strategic Planning Committee
Congressional Art Competition
Admission Standards
Legislative Session
SFA’s 90th Anniversary
-17-
Dr. Linda Bob, chair of the Faculty Senate, presented a report on the following:
Faculty Participation at Battle of the Piney Woods
Faculty Senate Retreat
Internal Committee Assignments
Policy Review Process
Summer Teaching Compensation
Dennis Hagans, president of the Student Government Association, gave the following
report:
Efforts to Encourage Voter Registration
Athletic Fee
Jacks’ Charge and Give ‘em the Axe Programs
Golden Rule Program
Chair Bob Garrett appointed the following regents to the nominating committee for 2013-
2014 board officers: Chair Brigettee Henderson, Ken Schaefer and Connie Ware.
The meeting was adjourned at 10:20 a.m.
Appendix 1
1
STEPHEN F. AUSTIN STATE UNIVERSITY
DEPARTMENT OF AUDIT SERVICES
INTERNAL AUDIT CHARTER
October 22, 2012
Purpose
Internal auditing is an independent, objective assurance and consulting
activity designed to add value and improve the university’s operations. It
helps the university accomplish its objectives by bringing a systematic,
disciplined approach to evaluate and improve the effectiveness of risk
management, control and governance processes.
The purpose of the Department of Audit Services is to provide the Board of
Regents and the president an independent appraisal of the adequacy and the
effectiveness of the university's system of internal administrative and
accounting controls and the quality of performance when compared with
established standards. The primary objective is to assist the Board of
Regents, the president and university management in the effective discharge
of their responsibilities.
Authority
The Department of Audit Services is an integral part of Stephen F. Austin State
University and functions within established policies. The director of audit
services reports functionally to the Board of Regents and administratively to
the president.
The Department of Audit Services will have unrestricted access to all
university activities; records, both manual and electronic; property; and
personnel relevant to any area being reviewed. Members of the audit
services' staff will handle all documents and other information acquired in the
course of their duties prudently.
Standards and Independence
The department will operate within the guidelines of the Texas Internal
Auditing Act (Article 6252 – 5d., V.A.C.S.), the Institute of Internal Auditors
(IIA) Professional Practices Framework which includes the Definition of
Appendix 1
2
Internal Auditing, the Code of Ethics, and the International Standards for the
Professional Practice of Internal Auditing as mandatory guidance. In addition,
where applicable the department will follow Generally Accepted Government
Auditing Standards (GAGAS).
The department’s internal auditors will uphold the principles of integrity,
objectivity, confidentiality, and competency. Internal auditors will be
independent of the activities or operations they review; they will not engage
in any activity which would impair their independence.
Responsibility
The Department of Audit Services will fulfill its responsibility to the board and
the president by:
developing an audit plan based on a risk analysis which includes
consideration of the university’s goals and objectives and the concerns
of management and the board.
providing audit coverage that consistently meets the needs and
expectations of management
following up on identified weaknesses, findings and recommendations
from previous audit work
participating in a program of quality assurance designed to ensure the
increasing professionalism of the department and standard of the work
performed
performing consulting services including advisory and related service
activities, the nature and scope of which are agreed upon and which
are intended to add value and improve the university’s governance,
risk management, and control processes without assuming
management responsibility. Examples include counsel, advice,
facilitation, training, and committee service.
Annually the director of audit services will submit information on the annual
audit plan, work schedule, and staffing plan to the president for his review
and to the Board of Regents for their approval. Quarterly the director will
provide activity reports to the president and the board detailing progress
against the annual audit plan, audit accomplishments, and highlights of any
significant audit findings and recommendations. The director of audit services
will submit reports as required to the state auditor’s office, governor’s office,
Legislative Budget Board and Sunset Advisory Commission.
The scope of audit activities will include all controls, reports and operations of
the university. The Department of Audit Services will examine and evaluate:
Appendix 1
3
The reliability and integrity of financial and operating information and
the means used to identify, measure, classify and report information.
The systems established to ensure compliance with policies, plans,
procedures, laws and regulations that could have a significant impact
on the university.
The means of safeguarding assets and verifying their existence.
The economy and the efficiency with which resources are employed.
The extent to which the operations and programs of the university are
consistent with its objectives and goals.
The ethics objectives and activities of the university.
The potential for fraud and the management of fraud risk.
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
1
Summary Report – Fiscal Year 2012
Total New Current Year Awards (this period) – as of August 31, 2012
Subtotal direct federal $ 6,778
Subtotal federal pass-through $ 53,966
Subtotal state and state pass-through $ 5,845
Subtotal private entity and local government $ 9,200
Total new awards (this period) $ 174,821
Total current year awards for awards active in 2012 $ 12,652,558
Total awards (all years) for awards active in 2012 $ 50,272,318
New, Additional, or Previously Unreported Awards for FY 2012
Direct Federal Awards
Previously Described Awards
Habitat Use, Movements, and Survival of White-tailed Deer at Barksdale AFB
FY 2012 Award: $6,778 (additional award) Total Award: $187,226
Subtotal Current Year Awards (this report) = $6,778
Subtotal New Direct Federal Awards (total award) = $ 0
Federal Pass-through Awards
*Child Welfare Professional Development Project
FY 2012 Award: $23,529
Total Award: $143,171 (Interagency Agreement - renewal)
Sponsor: TX Dept. of Family and Protective Services
(U.S. Dept. of Health and Human Services)
Term (this action): July 1, 2012 – June 30, 2013
Description: The purpose of this federally funded program is to provide a staff
development and training program that supports the goals in the Child and Family Services state
plan for Title IV-E training, which include enhancing the skills of CPS workers through
education in social work and providing opportunities for ongoing foster parent and staff
training. PI/PD: Becky Price-Mayo, School of Social Work
Appendix 2
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
2
*Probing Los Adaes: Geophysical and Archaeological Investigations of the Priests and People
of Los Adaes
FY 2012 Award: $ 9,680
Total Award: $25,150
Sponsor: Cane River National Heritage Area (U.S. Dept. of the Interior)
Term (this action): June 18, 2012 – June 19, 2017
Description: This project will involve a geophysical survey of the Mission Hill
areas of Los Adaes and a residence located near the mission. A comparison of the two areas will
allow insights into the life of the priests and civilians/soldiers at Los Adaes. PI/PD: Dr. George
Avery, Center for Regional Heritage Research, Department of Social and Cultural Analysis
Previously Described Awards
Visually Impaired Preparation (VIP) Program
FY 2012 Award: $15,000 (additional award) Total Award: $502,000
Special Education Consolidated Grant (IDEA-B)
FY 2012 Award: $5,757 (additional award) Total Award: $60,531
Subtotal Current Year Awards (this report) = $ 53,966
Subtotal New Federal Pass-through Awards (total award) = $168,321
State and State Pass-through Awards
*College and Career Readiness Initiative - Faculty Collaborative in Social Studies
FY 2012 Award: $1,000
Total Award: $1,000 (Fixed-price Contract)
Sponsor: The University of Texas at Arlington (TX Higher Ed. Coord. Bd.)
Term (this action): May 15, 2012 – May 17, 2012
Description: SFA will fully participate in the CCRI Faculty Collaborative in
Social Studies, which includes implementation of CCRS and PASS materials into a course for
social studies teachers throughout the Fall Semester 2012, and a summary and presentation of
implementation strategies and results. PI/PD: Dr. Elizabeth Witherspoon, Department of
Elementary Education
Previously Described Awards
NEC4 Statistical Analysis for SUCCESS Project
FY 2012 Award: $4,845 (additional award) Total Award: $11,870
Subtotal Current Year Awards (this report) = $5,845
Subtotal New State/State Pass-through Awards (total award) = $1,000
Appendix 2
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
3
Private and Local Government Awards
*Poultry Science Education Student Recruitment
FY 2012 Award: $3,000
Total Award: $3,000 (Grant – renewal)
Sponsor: U.S. Poultry and Egg Association
Term (this action): October 4, 2011 - August 1, 2012
Description: Funds are provided to aid in recruiting efforts directed at high
school and community college students to attract majors in Poultry Science. PI/PD: Dr. Joey
Bray, Department of Agriculture
*Woden Water Supply Corporation Project: Phase II
FY 2012 Award: $2,500
Total Award: $2,500 (Fixed Price Contract)
Sponsor: Woden Water Supply Corporation
Term (this action): July 16, 2012 – August 25, 2012
Description: This contract incorporates four functional elements: acquisition of
field locations for approximately 650 water locations; development of a working geospatial
database for all water meter locations; development of geographic information systems (GIS)
geodatabase suitable to be linked to a billing database; and a report detailing the methodology
and use of the water meter geodatabase and suggestions for implementation. PI/PD: Dr. Darrel
McDonald, Department of Government
Previously Described Awards
NMC Apartment Agreement (AHEC Apartment Utilities Fund)
FY 2012 Award: $3,700 (additional award) Total Award: $8,500
Subtotal Current Year Awards (this report) = $9,200
Subtotal New Private/Local Government Awards (total award) = $5,500
Appendix 2
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
4
Fiscal Year 2013
Total New Current Year Awards (this period) – as of September 25, 2012
Subtotal direct federal $ 2,803,848
Subtotal federal pass-through $ 1,270,780
Subtotal state and state pass-through $ 2,360,192
Subtotal private entity and local government $ 354,926
Total new awards (this period) $ 1,644,330
Total current year awards for grants active in 2013 $ 6,789,746
Total awards (all years, to date) for grants active in 2013 $22,046,715
Direct Federal Awards
*McIntire Stennis Cooperative Forestry Research Program
FY 2013 Award: $440,788
Total Award: $440,788 (Formula Grant - renewal)
Sponsor: U.S. Dept. of Agriculture
Term (this action): October 1, 2011 – September 30, 2013
Description: Funds are allocated for the conduct of forestry research and the
necessary expenses of planning and directing of research conducted by the school of forestry.
PI/PD: Dr. Steve Bullard, College of Forestry and Agriculture
*Bat Occurrence Relative to Silvicultural Treatments Intended to Yield Desired Forest
Conditions for Priority Wildlife
FY 2013 Award: $78,662
Total Award: $78,662 (Grant)
Sponsor: U.S. Dept. of the Interior (Fish & Wildlife Service)
Term (this action): June 26, 2012 - September 30, 2013
Description: The purpose of this project is to collect baseline inventory data for
bat species occurrence on several National Wildlife Refuges in the Lower Mississippi Alluvial
Valley with emphasis on identifying occurrence of priority species such as Rafinesque’s big-eared
bat and southeastern myotis. PI/PD: Dr. Christopher Comer, School of Forestry
*More Kids in the Pineywoods
FY 2013 Award: $41,677
Total Award: $41,677 (Challenge Cost-share Agreement)
Sponsor: U. S. Dept. of Agriculture (U.S. Forest Service)
Term (this action): June 21, 2012 – July 31, 2017
Appendix 2
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
5
Description: This is a conservation education program that will provide weekly
outdoor experiences for 60 at-risk youth (ages 6-12); field-based science field trips for 3,200 K-5
public school children; monthly field trips and outdoor activities for 75 underserved families;
and 4 week-long day camps for 60 youth, including interactions with resource professionals,
hands-on activities, experiential learning, outdoor skills, and critical thinking to help children
make connection with nature. PI/PD: Elyce Rodewald, SFA Gardens, Department of Agriculture
*From Mission San Juan Bautista to Fort St. Jean Baptiste: The Cultural Landscape of El
Camino Real de los Tejas
FY 2013 Award: $24,999
Total Award: $24,999 (Cooperative Agreement)
Sponsor: U.S. Dept. of the Interior (National Park Service)
Term (this action): July 30, 2012 – January 30, 2015
Description: Through this cooperative project, SFA and National Park Service
staff will prepare an illustrated and professionally designed manuscript that will expand the
historic and photographic resource database of the El Camino Real de los Tejas National
Historic Trail. PI/PD: Christopher Talbot, School of Art
*Wilderness Recreation Site Inventories – Phase II
FY 2013 Award: $15,000
Total Award: $15,000 (Challenge Cost-share Agreement)
Sponsor: U. S. Dept. of Agriculture (U.S. Forest Service)
Term (this action): August 02, 2012 – September 30, 2014
Description: This project will enable SFA to educate students in all aspects of
wilderness management including wilderness recreation site inventory and monitoring to
prepare qualified monitoring personnel for the U.S. Forest Service within all wilderness areas.
PI/PD: Dr. Pat Stephens-Williams, School of Forestry
*National Visitor Use Monitoring Preparation Survey Research
FY 2013 Award: $5,000
Total Award: $5,000 (Cooperative Agreement)
Sponsor: U. S. Dept. of Agriculture (U.S. Forest Service)
Term (this action): June 25, 2012 – September 30, 2014
Description: This project will provide the U.S. Forest Service with recreational
trends data of the National Forests and National Grass Lands for multiple uses and for sustained
yields of products and services in the best combination for the use, enjoyment and education of
the American people. PI/PD: Dr. Pat Stephens-Williams, School of Forestry
Previously Described Awards
Gaining Early Awareness and Readiness for Undergraduate Programs for Success
FY 2013 Award: $1,184,212 Total Award: $7,445,050
Appendix 2
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
6
CONFIANZA - Research Study to Assess the Impact of Professional Development on English
Language Learners
FY 2013 Award: $397,933 Total Award: $1,988,947
Talented Teachers in Training for Texas (T4)
FY 2013 Award: $225,187 Total Award: $1,449,996
Vocational Rehabilitation Counselor Training
FY 2013 Award: $147,380 Total Award: $747,380
Orientation and Mobility for the Blind Training Program
FY 2013 Award: $ 98,253 Total Award: $496,000
Environmental Availability of Lead and Use Moist-Soil Management to Attract Waterfowl on
the Texas NWRs
FY 2013 Award: $79,627 (additional award) Total Award: $142,170
Northeast Region Public Engagement at Three National Park Sites: Evaluation and Future
Strategies
FY 2013 Award: $43,419 Total Award: $75,000
Protecting Cultural Resources at Glen Canyon NRA
FY 2013 Award: $7,500 Total Award: $30,000
Collaborative Research: UTMOST - Undergraduate Teaching in Mathematics with Open
Software and Textbooks
FY 2013 Award: $6,498 Total Award: $45,986
Habitat Occupancy and Origins of American Woodcock Wintering in East Texas
FY 2013 Award: $5,400 Total Award: $69,984
An Investigation of Chytridiomycosis and Amphibian Declines in East Texas
FY 2013 Award: $1,509 Total Award: $20,000
El Camino Real de los Tejas Oral History Research Project from the Sabine River to the
Angelina River, Texas - Phase III
FY 2013 Award: $804 Total Award: $19,296
Subtotal Current Year Awards (this report) = $2,803,848
Subtotal New Direct Federal Awards (total award) = $ 606,126
Federal Pass-through Awards
*Visually Impaired Preparation (VIP) Program
FY 2013 Award: $502,000
Appendix 2
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
7
Total Award: $502,000 (Interagency Agreement - renewal)
Sponsor: TX School for the Blind and Visually Impaired
(U.S. Dept. of Education)
Term (this action): September 1, 2012 – August 31, 2013
Description: SFA will prepare, or begin to prepare, 34 new professionals taking
coursework leading to endorsement in visual impairment or Academy for Certification of Vision
Rehabilitation and Education Professionals certification in Orientation and Mobility. PI/PD:
Dr. Dixie Mercer, Department of Human Services
*State Leadership Educational Excellence for CTE in Education & Training, Hospitality and
Tourism, and Human Services
FY 2013 Award: $325,000
Total Award: $325,000 (Grant - renewal)
Sponsor: Texas Education Agency (U.S. Dept. of Education)
Term (this action) September 1, 2012 – August 31, 2013
Description: The purpose of this continuing, federally funded project is to help
independent school districts implement rigorous TEKS curriculum standards and provide
professional development opportunities to improve teacher effectiveness. PI/PD: Dr. Lynda
Martin, School of Human Sciences
*Community-based Cemetery Interpretation – Part 2
FY 2013 Award: $58,922
Total Award: $58,922 (Interlocal Agreement)
Sponsor: City of Nacogdoches (U. S. Dept. of the Interior - NPS)
Term (this action) August 20, 2012 – June 30, 2013
Description: This additional agreement will allow for the completion of
interpretive, educational and digital projects for Oak Grove and Zion Hill cemeteries and assist
participating communities with their cemetery interpretation efforts through workshops,
technical assistance, web-based services and mini-grants. PI/PD: Dr. Mark Barringer, Center
for Regional Heritage Research, Department of History
*Special Education Consolidated Grant (IDEA-B)
FY 2013 Award: $27,777
Total Award: $27,777 (Formula Grant)
Sponsor: Texas Education Agency (U.S. Dept. of Education)
Term (this action) August 07, 2012 – September 30, 2013
Description: Funds are provided for instructional support at the SFA Charter
School, including early identification, intervention and counseling services for students with
impairments and disabilities. PI/PD: Ms. Lysa Hagan, Charter School, Department of
Elementary Education
*Geriatric Education Center (GEC)
FY 2013 Award: $21,600
Total Award: $21,600
Appendix 2
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
8
Sponsor: U.T. Medical Branch – Galveston
(U. S. Dept. of Health and Human Services)
Term (this action): July 1, 2012 – June 30, 2013
Description: The purpose of this federally sponsored program is to help provide
high-quality, continuing education in geriatrics and to improve health care for older adults
including those in rural communities. PI/PD: Mark Scott, Texas Area Health Education Center
East – Piney Woods Region, College of Sciences and Mathematics
*Texas Undergraduate Mathematics Conference
FY 2013 Award: $2,960
Total Award: $2,960 (Memorandum of Understanding)
Sponsor: Mathematical Association of America
(National Science Foundation)
Term (this action): August 1, 2012 – December 31, 2012
Description: The goal is to provide opportunities for undergraduate students in
the mathematical sciences to make presentations in a supportive and non-threatening
atmosphere. PI/PD: Dr. Nicholas Long, STEM Center, Department of Mathematics and Statistics
*MLK Day of Service
FY 2013 Award: $1,000
Total Award: $1,000 (Subaward)
Sponsor: Service for Peace (AmeriCorps)
Terms (this action): September 21, 2012 – March 8, 2013
Description: This award is to help SFA combine meaningful service, thoughtful
reflection, and inclusion of a diverse cross section of the community as volunteers to celebrate
the life and work of Dr. King. PI/PD: Dr. Jamie Bouldin, University Affairs
Previously Described Awards
Child Welfare Professional Development Project
FY 2013 Award: $119,642 Total Award: $143,171
Avian Community Dynamics in Bottomland Hardwood Forests of East Texas
FY 2013 Award: $117,590 Total Award: $452,320
Women of Color (WOC) Grant Evaluation
FY 2013 Award: $50,000 Total Award: $250,000
State View Program Development and Operations for the State of Texas
FY 2013 Award: $23,500 (additional award) Total Award: $119,441
Development of a Watershed Protection Plan for Attoyac Bayou
FY 2013 Award: $10,797 Total Award: $194,348
Appendix 2
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
9
Probing Los Adaes: Geophysical and Archaeological Investigations of the Priests and People
of Los Adaes
FY 2013 Award: $9,992 Total Award: $25,150
Subtotal Current Year Awards (this report) = $1,270,780
Subtotal New Federal Pass-through Awards (total award) = $ 939,259
State and State Pass-through Awards
*Math, Science, and Technology Teacher Prep Academies Conference Management
FY 2013: $25,000
Total Award: $25,000
Sponsor: TX Higher Education Coordinating Board
Term (this action) August 1, 2012 – August 31, 2013
Description: Funds are provided to administer the Fifth Annual Math, Science,
and Technology Teacher Preparation Academies Leader’s annual conference and technical
workshop for the state’s operating MST TPA programs. PI/PD: Dr. Kimberly Childs, STEM
Center, College of Sciences and Mathematics
Previously Described Awards
SFA Charter School (ADA)
FY 2013 Award: $1,815,754 Total Award: $1,815,754
Systemic Texas Educator Preparation Sites (STEPS) for College and Career Readiness
Demonstration Project
FY 2013 Award: $132,500 (additional award) Total Award: $965,000
NOTE: The additional award includes $100,000 designated by the Texas Higher Education
Coordinating Board for a subaward to Texas State University.
At-Risk Nursing Student Tracking and Intervention Project
FY 2013 Award: $112,500 Total Award: $300,000
SFA Mathematics, Science, and Technology (MST) Academy
FY 2013 Award: $85,000 (additional award) Total Award: $983,441
Career Planning Laboratory – Employment Related Services for DBS
FY 2013 Award: $50,000 Total Award: $200,000
Rehabilitation Counseling Internship Stipends
FY 2013 Award: $41,640 Total Award: $83,280
Appendix 2
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
10
Disability Services - Interpreter Services
FY 2013 Award: $35,000 (additional award) Total Award: $140,000
Southeast Texas P-16 Council Special Advisors Initiative – Math and Science Support
FY 2013 Award: $33,333 Total Award: $75,000
Disability Services – Reader Services
FY 2013 Award: $16,000 Total Award: $32,000
Joint Admission Medical Program (JAMP)
FY 2013 Award: $13,465 (additional award) Total Award: $42,922
Subtotal Current Year Awards (this report) = $2,360,192
Subtotal New State and State Pass-through Awards (total award) = $ 25,000
Private Entity and Local Government Awards
*Beaumont Foundation of America Scholarships
FY 2013 Award: $60,000
Total Award: $60,000 (Grant - renewal)
Sponsor: Beaumont Foundation
Term (this action): August 1, 2012 – June 30, 2013
Description: The purpose of this grant is to fund the Gilbert I. “Buddy” Low
Scholarship Program for five students continuing from 2011-12 and three additional students to
be enrolled in the fall 2012. PI/PD: Mr. Michael O’Rear, Financial Aid
*Rehobeth Cemetery Project: Phase I
FY 2013 Award: $7,300
Total Award: $7,300 (Fixed Price Contract)
Sponsor: Rehobeth Cemetery Association
Term (this action) September 1, 2012 – December 31, 2012
Description: The purpose of this contract is to generate an updated cemetery
plot map using GPS and GIS technologies. PI/PD: Dr. Darrel McDonald, Center for Regional
Heritage Research, Department of Government
*East Texas Child Care Administrative Fee
FY 2013 Award: $4,845
Total Award: $4,845 (Interlocal Agreement)
Sponsor: Workforce Solutions East Texas (Texas Workforce Commission)
Term (this action): October 1, 2011 – September 30, 2012
Description: This award supports the administrative costs of Early Childhood
Lab (ECL) staff in the reporting of matching funds. PI/PD: Lori Harkness, ECL, Department of
Elementary Education
*Tournées Festival Film Program
Appendix 2
Report to the Board of Regents – October 2012
Grants1 awarded between June 19, 2012 and September 25, 2012
*New awards
1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of
agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts.
Prepared by the Office of Research & Sponsored Programs
11
FY 2013 Award: $1,800
Total Award: $1,800 (Grant - renewal)
Sponsor: French-American Cultural Exchange
Term (this action): September 1, 2012 – August 31, 2013
Description: This award supports the screening of contemporary French cinema
on the SFA campus. PI/PD: Dr. Joyce Johnston, Department of Modern Languages
Previously Described Awards
Child Care Training
FY 2013 Award: $210,000 Total Award: $300,000
Bilingual Social Work Scholarship Program
FY 2013 Award: $27,019 Total Award: $103,101
James I. Perkins Family Research Associates in Elementary Education
FY 2013 Award: $15,000 Total Award: $75,000
Nacogdoches Naturally Staff Support
FY 2013 Award: $9,375 Total Award: $12,500
Economics Reading Group
FY 2013 Award: $7,600 (additional award) Total Award: $14,600
Lake Naconiche: Wetlands Monitoring
FY 2013 Award: $5,862 Total Award: $30,608
Longleaf Pine Data Collection – Research Internship
FY 2013 Award: $3,125 Total Award: $17,500
Mathematics, Science, and Technology (MST) Academy – ISD Match
FY 2013 Award: $3,000 (additional award) Total Award: $75,000
Subtotal Current Year Awards (this report) = $354,926
Subtotal New Private and Local Government Awards (total award) = $ 73,945
Note: Amounts are based on award notices as they are received from the funding entity, not on
expenditures or balances in funds/accounts. To reflect the approximate availability of funds in a
given fiscal year, some current year awards are estimates based on the total amount awarded
spread over the award period.
Appendix 2
Policies for Board Review
October 22, 2012
Policy Name
Policy
Number
BOR
Cte
Major Action/Change
Page
Number
Assembly and Demonstrations D-23 B&G
No single reservation can exceed
5 days; added consequences for
violations.
P-3
Authority for Official
Statements
D-6 ASA Reviewed with no changes. P-6
Authorization for University
President to Suspend Faculty
and Staff
D-8 ASA Reviewed with no changes. P-7
Bookstore Textbook Orders F-4 ASA
Added board committee
assignment.
P-8
Camp and Conference
Reservations
B-4 B&G
Deadlines set or updated;
cancellation fee increased.
P-9
Campus Facilities for Political
Purposes
B-5 B&G Reviewed with no changes. P-22
Continuing Education A-32 ASA
Added definitions; fees may be
charged; oversight detailed; CEU
responsibilities added.
P-23
Faculty/Staff Athletic Ticket
Purchases
F-12 ASA
Information will be distributed by
email and online.
P-26
Food Services C-13.5 ASA
Added board committee
assignment.
P-27
Fraud C-46 FA Major rewrite. P-28
Guest Speaker F-15 ASA Minor clarifications. P-35
Mail Services F-18 ASA
Minor changes; added board
committee assignment.
P-37
Notary Public F-21 ASA Detailed procedures removed. P-39
Organized Work Stoppage E-34 ASA Cross references updated. P-41
Private Support Organizations
or Donors
D-25.5 FA Reviewed with no changes. P-42
Appendix 3
P-1
Policy Name
Policy
Number
BOR
Cte
Major Action/Change
Page
Number
Receipts and Deposits C-5 FA
Managing bank accounts and
transferring funds among
accounts is responsibility of
controller.
P-44
Reduction in Force of Non-
Academic Employees
E-41N ASA
Added board committee
assignment.
P-54
Risk Management E-43.5 FA
Reorganization of information
and minor updates.
P-57
Selection of Vice Presidents,
Athletic Director and Head
Coaches
D-30.1 ASA BOR may elect to participate. P-63
Sick Leave E-47 ASA
Reorganization of information
and minor updates.
P-64
Sick Leave Pool E-47.1 ASA Minor updates. P-68
Student Center Operations B-29 ASA Minor updates. P-72
Student Fiscal Appeals C-57 FA Detailed procedures removed. P-80
Students Displaying Serious
Psychological Problems
D-35 ASA
Behavior Intervention Team
added.
P-82
Student Records D-13 ASA Minor clarifications. P-88
Ticket Office Services F-30 ASA Minor clarifications. P-96
Vending F-31 B&G
Title updates and board
committee assigned.
P-98
Appendix 3
P-2
Assembly and Demonstrations (D-23)
Original Implementation: July 1980
Last Revision: July 21, 2009October 22, 2012
I. Introduction
1. Stephen F. Austin State University reaffirms its commitment to the freedoms of
speech, expression and assembly by establishing this policy. Individuals have
the right to assemble, to speak, and to attempt to attract the attention of others,
and corresponding rights to hear the speech of others when they choose to
listen, and to ignore the speech of others when they choose not to listen.
2. The rules articulated in this policy apply to all students, faculty, staff, and their
official organizations, as well as all other persons and groups. Due to practical
administrative realities, this policy does not apply to university agents and
employees when they are acting in the course and scope of their agency or
employment. This exception also includes the official activities of the SFA
Alumni Association and the SFASU Foundation.
3. Students, faculty and staff are free to express their views, individually or in
organized groups, orally, by sign or exhibit, on any topic, in all parts of the
campus. Persons not affiliated with the university are free to express their
views orally, by sign or exhibit, on any topic in areas designated for that
purpose. These expressions are subject only to rules necessary to preserve equal
rights of others and the functions of the university. Teaching, research and
other official functions of the university shall have priority in allocating the use
of space on campus.
II. Definitions
1. "Student" shall mean any person registered for academic credit at the
university.
2. "Faculty" and "Staff" shall mean any person employed by the university.
3. "Official organization" shall mean any organization recognized by the
university.
III. Rules
These rules shall govern the conduct of all assemblies and demonstrations on
university property or at university-sponsored events.
1. Assemblies and demonstrations must be conducted in compliance with these
rules, all other applicable university policies, and must not:
a. result in a breach of peace or violation of law;
Appendix 3
P-3
b. negatively impact the security, health and safety of persons and/or
property on campus;
c. interfere with the free and unimpeded flow of pedestrian and vehicular
traffic on campus or the entry or exit into university buildings;
d. materially disrupt or interfere with the normal activities of the university;
e. negatively impact the beauty of the university's grounds, buildings, and
facilities; or
f. create unnecessary costs and waste university resources.
2. No person conducting or participating in an assembly or demonstration on
university property or at university-sponsored events may advocate the
deliberate violation of the law. For the purposes of this section, "advocate"
means speech directed to inciting or producing the audience for imminent
action with the likelihood of producing such action, as opposed to the abstract
espousal of the moral propriety of a course of action.
3. Students, faculty, staff and their official organizations may assemble and/or
demonstrate anywhere on university grounds between the hours of 8 a.m. and 7
p.m., Monday through Saturday, as long as the assembly and/or demonstration
adheres to the provisions of Items 1 and 2 of this subsection and all applicable
university policies and procedures, and a properly submitted SFA Group
Grounds Reservation Form has been approved.
4. All other persons and groups may assemble and demonstrate in designated
areas between the hours of 8 a.m. and 7 p.m., Monday through Saturday, as
long as the assembly and/or demonstration adheres to the provisions of Items 1
and 2 of this subsection and all applicable university policies and procedures,
and a properly submitted Outside Group Grounds Reservation form Grounds
Reservation Form has been approved.
5. Requests to reserve campus grounds for an assembly and/or demonstration
must be made in writing using a Grounds Reservation Formthe appropriate
form. This These forms is are available in the Student Activities office and on
the Student Activities Web site. The completed form must be submitted to the
Student Activities office Assistant Dean of Student Affairs for Programs for
approval and must be received at least forty-eight (48) hours in advance of the
activity. This advance notice allows the university the opportunity to avoid the
problem of simultaneous and/or competing assemblies or demonstrations and to
arrange for adequate security. Each The Grounds Reservation Form form
requires the applicant to provide his/her name, address and phone number, in
addition to signing and dating the form. The form must be signed and dated by
the applicant
Although a reservation may be requested as many times per year as desired, no
single reservation request can exceed 5 working days.
Appendix 3
P-4
6. Persons or groups reserving space and not using the space and which results in
a violation of subsection 1above may receive a verbal warning for their first
offense, a written warning for their second offense and after a third occasion
may be restricted from reserving campus grounds for a period not to exceed
one year from the date of the last infraction.
5.7. Persons or groups who violate this policy may, based on the severity of the
offense, be restricted from using university facilities or grounds. Such
restriction will be made by the Assistant Dean of Student Affairs for Programs
and may be appealed to the Dean of Student Affairs.
Cross reference: SFA Web pages; Signs and Exhibits, (D-31); Use of Amplified Sound
on Campus Grounds, (D-21); U.S. Const. amend. I; U.S. Const. amend. XIV, § 1.
Responsible for Implementation: President
Contact for revision: Dean of Student Affairs
Forms: SFA Group Grounds Reservation Form; Outside Group Grounds Reservation
Form
Board Committee Assignment: Building and Grounds
Appendix 3
P-5
Authority for Official Statements (D-6)
Original Implementation: January 22, 1977
Last Revision: October 12, 2009October 22, 2012
The Board of Regents hereby reserves the authority and responsibility for determining
matters of policy and official statements concerning any political or other subjects of an
obviously controversial nature which represent an official policy, statement, or position
of the Board of Regents or of the university. Statements, policies, and positions by the
Board of Regents on such matters shall be made by the board through the chair of the
board or the president of the university. No regent, officer, faculty or staff member shall
have the authority to speak for or issue any public statements on policy for and on behalf
of the Board of Regents, or of the university, on such matters without prior approval of
the board.
Cross Reference: Board of Regents Rules and Regulations
Responsible for Implementation: President
Contact for Revision: President
Forms: None
Board Committee Assignment: Academic and Student Affairs Committee
Appendix 3
P-6
Authorization for the University President to Suspend
Faculty and Staff (D-8)
Original Implementation: April 27, 1970
Last Revision: October 12, 2009October 22, 2012
Without prior notice or hearing, the president of the university may suspend without pay
and immediately remove from the university, or assign to other duties with pay, any
employee who:
1. poses a continuing danger to persons or property;
2. disrupts the orderly operation of the university;
3. endangers the education of students;
4. has been convicted by a trial court of any felony or a crime of moral turpitude.
The president shall immediately notify the general counsel of such action. In such cases
the president will set a hearing before the appropriate administrator or committee on the
employee's case as soon thereafter as is practical unless otherwise waived by the
employee.
Cross Reference: Board of Regents Rules and Regulations
Responsible for Implementation: President
Contact for Revision: President
Forms: None
Board Committee Assignment: Academic and Student Affairs
Appendix 3
P-7
Bookstore Textbook Orders (F-4)
Original Implementation: Unpublished
Last Revision: October 12, 2009October 22, 2012
Every semester the textbook manager in the Barnes and Noble University Bookstore
sends each academic department chair textbook information forms, instructions for
completion, and a list of adopted books with new editions in print. Required textbooks
are selected and optional books are recommended by each department chair for the
following semester. Approximate due dates for departmental selections to be returned to
the university bookstore are listed below.
1. Fall semester - March 1
2. Spring semester - October 10
3. Summer semesters - March 1
Following internal checks of textbook inventories, buy-back quantities, and quantities
sold in previous semesters, the bookstore places purchase orders with publishers. If
problems arise during the purchasing process, the bookstore notifies the appropriate
department chair and if necessary, new textbook selections are made.
Cross Reference: None
Responsible for Implementation: Vice President for University Affairs
Contact for Revision: Director of Student Services/Director of Student Center
Forms: None
Board Committee Assignment: Academic and Student Affairs
Appendix 3
P-8
Camp and Conference Reservations (B-4)
Original Implementation: 1987
Last Revision: October 12, 2009October 22, 2012
Each year Stephen F. Austin State University is host to a variety of camps, clinics,
workshops and conferences on the main campus. To facilitate the many and varied
requests of these groups, the coordinator for university reservations and conferences
(coordinator), referred to in this booklet as the coordinator, located in the student center,
is available to assist camp directors in arranging housing, meal tickets, meeting space,
insurance, parking permits and banquets. A camp, as referred to in this documentpolicy,
refers to all special programs, camps and conferences.
Eligibility
Any camp or conference requesting use of university facilities must have a university
sponsor. If profit-making agencies are involved with the program, the sponsoring
organization must receive prior approval from the vice president for finance and
administration to conduct the camp. It is the responsibility of the university sponsor to
ensure that programs and activities conducted in the student center or at other locations
on the university campus are in compliance with the Americans with Disabilities Act and
the SFA Campus Programs for Minors guidelines.
Age of Participants
Camp participants under ten (10) years of age are not permitted to stay overnight in the
residence halls unless accompanied by parents and under close supervision at all times.
Request for Camp/Conference Facilities
Camp directors must submit a completed Camp/Conference Reservation Contract at least
sixty (60) days prior to the start of the camp to the coordinator to request the use of
university facilities. An estimated number of attendees (including counselors and
directors) for the camp must be included on this form. Housing, meal cards, meeting
space and other requests will be reserved according to the stated needs on this form.
Completion and return of these forms as early as possible will help assure that each
specific need will be met. Some areas are limited and will be supplied on a first-come,
first-serve basis. A packet containing passes, tickets, insurance forms and instructions
will be assembled and should be picked up at the coordinator's office two (2) weeks
before the scheduled camp date.
Insurance Requirements
Appendix 3
P-9
It is the responsibility of the university sponsor to provide documentation to the
coordinator to ensure that each group has appropriate liability coverage. All non-credit
participants spending the night in university residence halls must be insured. A per
camper/night fee will be assessed at the completion of the camp and included on the
invoice for camp expenses. A list of names of all participants to be insured must be
submitted to the office of the coordinator on the first working day of the camp session.
Completion of insurance forms is the responsibility of the university sponsor/camp
director. Forms returned because of insufficient information are also the university
sponsor/camp director's responsibility.
Health Clinic
A university Medical Release and Consent Form must be completed and signed by the
parent/guardian of each camper under age 18. Neither the university health clinic nor
local hospitals will treat a minor student without this release form in hand. The camp
director is responsible for having these forms signed and readily accessible at all times in
case of an emergency.
Insurance cClaim forms are available from the coordinator as needed. The attending SFA
health clinic physician/professional will forward the claim form to the insurance carrier
following a medical visit. In the event that a camper requires treatment at a local hospital,
the insurance claim form must be returned to the coordinator to ensure correct processing
of the claim. No claim will be processed without the signature of a camp official.
A camp official must accompany a student camper to the university health clinic, local
hospital emergency room or pharmacy.
Emergency Phone Numbers
All camp participants should be informed that a campus 911 number is available to them
should an emergency take place.
Parents of participants should be informed of the twenty-four (24) hour emergency phone
number (936) 468-2608 at the University Police Department.
Billing Procedures
Billing for summer camps will be handled through the coordinator's office. Costs for
meals, housing and insurance will be negotiated each year and the projected costs made
available upon request. An account number or billing address should be supplied at the
time of the original camp reservation. Upon completion of the camp, invoice for all
lodging, damages, lost keys, meals, special banquets, SFA food service deliveries and
Appendix 3
P-10
pick-ups, insurance, and other applicable costs will be issued to the camp director. Any
damages, etc. discovered after the close of the camp will remain the camp director's
responsibility. Payment must be made in full within 30 days of the date of the invoice.
Camp cancellations must be made in writing to the coordinator. Cancellations within
one month to two weeks prior to the starting date of the camp will incur a $100
cancellation fee. There will be a $200150-per-day charge for each day that the camp was
scheduled when the cancellation is made within two weeks of the beginning date of the
camp.
Housing
The camp director should estimate as closely as possible the number of students and
counselors needing university housing for the camp session. Space will be reserved as per
the reservation completed by the camp director. Concurrent camps may result in two or
more groups occupying the same residence hall.
Before the camp session, the camp director will receive lists of final hall assignments,
summer hall directors and their current phone numbers. Two weeks before the camp
session, the university will send floor plans, roommate lists, information specific to the
building, such as rooms being used for storage and not available to campers, and the
current phone number for the hall director. The camp director should contact the hall
director as soon as the lists are received and should keep the hall director updated on
changes and special needs the camp may have in the hall.
If it is necessary for a camp to have staff or campers arrive one night early or check out
one day later than the main camp, the early arrivals/late checkouts may be housed in a
different facility for this time. Any early arrivals or late checkouts must have authorized
supervision.
Final Arrangements
At least two (2) weeks prior to the start of the camp session, the camp director should
contact the coordinator to finalize arrangements. Issues to be discussed include early
arrivals, pre-camp inventory of the residence hall, check-in and checkout procedures,
room assignments, storage of equipment, late departures and post-camp inventory of the
residence hall.
The SFA Housing Department is responsible for the overall cleaning of the residence
halls, but it is the camp director's responsibility to make sure campers' posters, trash and
other items are removed from the rooms and taken to the dumpster. The camp director is
responsible for removal of any writing on walls, mirrors or doors prior to departure.
Appendix 3
P-11
Housing damages and lost key charges are assessed after the group has left the residence
hall , and but remain the camp director's responsibility. (See Damages for more
information.) Groups meeting in the lobbies of the residence halls are responsible for the
general cleaning of these areas. Food deliveries are not permitted after the front desk
closes.
Participants may not use hallways, floors, or rooms other than those assigned to the
camp.
Special Accommodations
Any camper or conference attendee needing special accommodations due to a disability
should contact the coordinator ten (10) days prior to arrival on campus.
The Camp/Conference Director Responsibilities
(Participants, as presented below, refers to all individuals associated with the
camp/conference including campers, instructors, staff and guests.)
The camp/conference director:
1. Provides counselors and staff in adequate numbers to provide camper safety for the
camps. (A minimum of one counselor per ten campers is required. Campers must be
supervised at all times.).;
2. Inspects residence hall facilities immediately prior to and after the camp session;
3. Advises participants of appropriate check-in and checkout procedures including
charges for damages and lost keys;
4. Familiarizes participants with university policies, especially those pertaining to fire
and emergency evacuation procedures, appropriate conduct, possession of controlled
substances and fire arms, and authorized entry into rooms;
5. Maintains discipline of all participants;
6. Cooperates with the residence hall director and staff who are responsible for the
safety, security and maintenance of the building;
7. Collects and has readily available all Medical Release and Consent Forms on all
participants;
8. Informs the university in advance of early and late arrivals;
9. Completes insurance forms at the time of treatment;
10. Handles insurance forms returned for lack of student information;
11. Furnishes the coordinator with a camp roster as soon as possible but no later than
twenty-four twelve (12) (24) hours after camp check-in begins; and
Appendix 3
P-12
12. Ensures that programs and activities conducted in the student center or at other
locations on the university campus are in compliance with the Americans with
Disabilities Act and the Campus Programs for Minors guidelines.
The Hall Director's Responsibilities
The hall director is responsible for supervising the SFA residence hall staff. He/she will
develop a comprehensive work schedule and assist with distribution of keys and room
assignments as needed to provide the best possible service to camp guests. The hall
director will be available to assist the camp/conference director in providing adequate
supervision and disciplinary guidelines to campers.
After camp completion, the hall director will be responsible for submitting to the
Residence Life Department the final count of rooms/beds used.
The hall director:
1. Acts as a daily contact person to assigned groups;
2. Prepares staff for handling emergencies and familiarizes them with overall building
layout (elevators, fire alarms, etc.);
3. Interprets, supports and enforces university policies, procedures and regulations;
4. Completes work orders and maintenance requests as needed for efficient hall
maintenance;
5. Completes administrative paperwork as required by the Residence Life Office or the
Housing Department; and
6. Assesses all housing charges at the conclusion of the conference.
Residence Hall Contact Numbers
Hall Phone Cell Phone
Wisely (936)468-2600 (936)652-8205
Todd (936)468-2800 (936)652-8207
North (936)468-3000 (936)652-8209
Hall 10 (936)468-3200 (936)652-8210
Mays (936)468-3700 (936)652-8211
South (936)468-3900 (936)652-8212
Lodge (936)468-2400 (936)652-8203
Hall 14 (936)468-4609 (936)652-8214
Griffith (936)468-4909 (936)652-8215
Hall 16 (936)468-5109 (936)652-8216
Steen (936)468-5201 (936)652-8171
Kerr (936)468-5301 (936)652-8218
Hall 20 (936)468-2595 (936)652-8220
Appendix 3
P-13
Village (936)468-4300 (936)652-8133
The hall director reports to the coordinator of residence life.
The Residence Hall Staff's Responsibilities
The residence hall staff, under the supervision of the coordinator of residence life and the
day-to-day responsibility of the hall director, will assist in summer camp programs.
The hall staff:
1. Cooperates with the hall director in the operation of the residence hall;
2. Assists with check-in and preparation of facilities for each camp;
3. Assists with checkout and inspection of rooms at the close of each camp;
4. Performs desk responsibilities during assigned desk hours, gives information, checks
guests in and out, issues keys, takes messages, and/or any other duties deemed
necessary;
5. Serves as a referral/resource person to camp participants;
6. Assists in acquainting camp director with university policy, emergency procedures
and facilities lay-out;
7. Maintains necessary reports and an accurate accounting of money, keys,
maintenance requests, damages, etc.;
8. Is accessible in emergency situations;
9. Maintains duty hours as assigned by the hall director;
10. Attends staff meetings as assigned by the hall director; and,
11. Performs other duties as assigned by the hall director.
Residence Hall Rules and Regulations
 Agenda/Schedule
A copy of the agenda or schedule for each conference group must be left with the
hall director to assist the residence hall staff in directing students during their stay.
 Alcohol
Alcohol is not allowed in residence halls at any time.
 Cleaning Fee
Appendix 3
P-14
Cleaning charges may result if the participant leaves the room in any condition that
requires custodial personnel to be called in for extra cleaning or the removal of trash
from the building.
 Controlled Substance
Unlawful use, manufacture, possession or delivery of any controlled substance or
dangerous drug is prohibited in residence halls.
 Damages
The camp will be charged for any damages to the residence hall or its furnishings.
Attaching signs or posters to the doors or the walls with tape may result in damage
charges. The university is not responsible for any damage to a camper's room as a
result of theft, vandalism or maintenance failure. The Housing Department
encourages a representative from each group to conduct a walk-through inspection
of each room prior to the arrival of the camp. All pre-existing damages should be
noted at that time. The hall director will be available to inspect each room with the
camp director upon request. The camp director is responsible for removal of any
writing on walls, mirrors or doors prior to departure. Housing damages and lost key
charges are assessed after the group has left the residence hall, but remain the camp
director's responsibility.
 Desk
The desk will be open from 10 a.m. until the camp curfew (no later than midnight).
Messages for camp participants received by desk attendants will be posted in a
central location and not delivered to individual rooms. The hall director will unlock
the front doors at the time requested by the camp director. The front door will be
locked at midnight, or earlier if requested. Anyone who is locked out of the building
may use the emergency phone located next to the door to contact the University
Police Department for admittance to the building.
 Desk Deliveries
Deliveries of prepaid merchandise may be made to the residence hall desk while it is
open. Desk assistants will notify participants of a delivery, but shall in no way be
made accountable for such items. Occupants will be contacted for deliveries when
payment is needed.
 Discipline and Supervision
Appendix 3
P-15
It is the responsibility of the camp director or camp staff to administer discipline to
participants who violate camp or university regulations. On occasions when camp
personnel are not available, residence hall personnel will temporarily handle the
situation. In cases of chronic or severe discipline problems, the residence hall
director reserves the right to recommend that a camp participant is sent home.
Violation of federal, state or municipal law will require the involvement of the
University Police Department. All camps must provide on-site camper supervision
throughout the duration of the camp. This includes overnight supervision within the
residence hall.
 Emergency
In case of an emergency, call 911 or University Police at (936) 468-2608.
 Entry-Authorized Entry Into Rooms
Entry into a residence hall does not normally constitute a search. University
personnel and the camp staff may enter a room to remove a potential fire, safety or
health hazard; to perform maintenance; to correct situations intruding upon the
comfort of others (a phone or alarm clock continuously ringing, loud radios, etc.); to
retrieve items upon request of the participant's immediate family; and to retrieve the
personal belongings of other individuals where there is no apparent dispute to
ownership of the property.
All other situations which would require entry into a room should be coordinated
with the hall director who may consult with University Police.
 Evacuation Procedures
All persons are required to evacuate a building when an emergency alarm is
activated. If an alarm sounds, each person must leave the room and proceed to the
nearest clear exit. Stairwells must be used instead of elevators. If the camper is
unable to exit the room, a towel, sheet, or similar item should be placed outside the
window, so that emergency personnel will know that someone is in the room. Camp
directors may request that a fire drill be scheduled during the camp by contacting the
hall director prior to arrival.
 Facility Sharing
In order to be more energy efficient, two or more camps may be scheduled in the
same facility.
Appendix 3
P-16
 Firearms
Possession or use of weapons or explosives (such as pistols, rifles, shotguns,
firecrackers, cherry bombs, or any weapons prohibited by laws of the state of Texas)
in university-owned or university-controlled buildings is prohibited.
 Fire Safety
No incense or candles may be burned in residence halls. If an extinguisher is
maliciously discharged, a fee for refilling the extinguisher and for clean-up will be
assessed. Transmission of a false alarm is a violation of state law and violators will
be prosecuted.
 Gambling
Gambling in any form is prohibited.
 Games
Because of potential physical harm or residence hall damage, active games such as
running and the use of frisbees, footballs, ice or water fights etc., are not allowed
within residence halls. It is the responsibility of the camp to store the equipment for
the camp such as basketballs, etc.
 Guests With Disabilities
Camp guests that need any special accommodations should contact SFA's camp
coordinator ten (10) days prior to arrival.
 Housekeeping
Housekeeping staff are on duty Monday through Friday. Common areas of the
residence halls and community bathrooms are cleaned daily. Cleaning of individual
rooms and trash in individual rooms is the responsibility of the camper. Any
housekeeping concerns should be reported to the front desk.
 Keys
Keys are issued according to the camp director's request and university policy at the
time of check-in. Keys must be turned in to residence hall staff at checkout. A
replacement fee will be assessed for each key that is not returned at the end of the
camp session. This charge covers the cost to change the lock and make a new set of
Appendix 3
P-17
keys. Camp officials will not be issued master or front door keys to any building. In
the event a camper is locked out of a room, camp staff will be asked to confirm the
identity and room assignment of the camper before a new key is issued. Each camp
director will develop the camp procedure for lockouts and assessing the cost to
campers.
 Laundry Facilities
Coinless washing machines and dryers are located in each residence hall.
 Lost and Found
Lost and found items should be turned in to the front desk. At the end of each camp,
the camp director may pick up any lost and found items. Anything left over from the
camp will be turned in to the Student Center Information Desk on campus. SFA will
not be responsible for lost or stolen items.
 Maintenance
Any maintenance problems should be reported to the hall director or desk personnel.
Abuse of elevators, televisions, laundry machines or ice equipment or other
excessive maintenance charges may be billed to the camp.
 Medication
The residence hall staff will not dispense any type of medication to a camper.
Contact the SFA health clinic at (936) 468-4008 if a camper will need assistance
with medication during the camp session.
 Movies
No movies may be shown in the residence hall lobbies due to licensing law
restrictions.
 Pets
No pets are allowed within the residence halls.
 Public Areas
Appendix 3
P-18
Eating, drinking and smoking are not permitted in the lobbies, hallways, laundry
rooms, community baths or other public areas. Pizza parties, etc. should be held
outside or the food distributed and the campers dispersed to their rooms.
 Roommates
The camp director will handle all roommate problems. If a room change is
necessary, consult the hall director.
 Smoking
No smoking is allowed in the residence halls or on the front porches during camps.
 Storage
Rooms used for reasons other than living space will be charged the private room
rate, (i.e., storage, offices or conference rooms).
 Telephones
The university does not furnish telephones for individual residence hall rooms.
Camp staff members are encouraged to bring telephones. Local telephone service is
provided in each room. Dial 9 for an outside line. In order to place a long distance
phone call, a telephone calling/credit card must be used. Incoming collect calls may
not be accepted. The phone number is printed on the telephone jack.
 Trash Policy
The SFA Residence Life Department is responsible for the overall cleaning of the
residence halls, but it is the camp director's responsibility to make sure campers'
posters, trash and other items are removed from the rooms and taken to the
dumpsters located outside of each building. The Housing Department will furnish
each camper with a plastic trash bag when they check into the building and large
bags at the end of each camp to gather all of the smaller bags for removal from the
building.
 Vending
Vending machines are provided for the convenience and enjoyment of the camp
participants. Empty or malfunctioning machines should be reported to the front desk
as soon as possible. Camp participants who lose money in the machines should
report to the Student Center Information Desk for a refund.
Appendix 3
P-19
 Windows
Windows in residence halls must be closed at all times for air conditioning systems
to function properly. Window screens may not be removed by residents.
Dining Service
Meal and hall access cardstickets to be used by camps will be enclosed in the camp
packet according to the estimated number stated on the reservation form at a price per
card. As a general rule, 10% extra meal tickets will be included to handle lost and
damaged cards at no charge. Meal cards are numbered for use in assignment. If a card is
lost, the coordinator's office may be notified immediately, and SFA Dining Services will
be alerted to watch for the lost card. To facilitate quick access to the cafeteria when
several large groups are on campus simultaneously, meal times should be staggered.
Special banquets in the student center can be arranged through the coordinator's office
according to student center policies. SFA Dining Services will charge the camp for all
meals scheduled according to the Camp/Conference Reservation Contract based on the
actual number of attendees at the camp.
Only food prepared and delivered by the university’s contract vendor is acceptable on
campus.
Campus Recreational Facilities and Programs
Requests for the use of campus recreational facilities and programs will be made in
writing by the camp director on the Camp/Conference Reservation Contract. All facilities
and programs for camps will be scheduled around academic classes, maintenance,
campus recreation programs and field conditions.
The Baker Pattillo Student Center Meeting Rooms
Rooms in the student center are made available to summer camps on a first-come, first-serve
basis following established student center policies. Only food purchased through
the university is to be served in the student center meeting rooms. Arrangements for room
set-up and food orders for banquets or meetings must be made in the coordinator's office
two weeks prior to the event. Failure to notify the coordinator of a cancellation
approximately 72 hours in advance of the scheduled activity will result in payment of the
cost incurred by the student center or food service personnel. Student center decorating
restrictions will be strictly enforced. The lounge areas are non-reservable areas during
regular operating hours. Lounges are primarily intended for general use by the public.
Appendix 3
P-20
Due to limited space in the student center, rooms will not be available for storage before
the camp dates. Boxes shipped before the group's arrival to the campus must be held by
the sponsoring department.
Academic Buildings for Meeting Rooms
The coordinator will be available to assist camp directors in reserving meeting spaces in
academic buildings and auditoriums following policy guidelines for each building. For
assistance, the camp director should specify dates, hours and group size on the
reservation form.
William R. Johnson Coliseum
Reservations for use of the William R. Johnson Coliseum will be arranged by the
coordinator following the university regulations for coliseum usage. A per-event fee may
be charged.
University Police/Parking
Parking permits are required and should be coordinated through the Office of Parking
and Trafficwill be available through the coordinator's office for campers bringing cars
and buses to the SFA campus. Parking permits are to be displayed in the car window
while on campus and disposed of after the camp is completed. If a group of parking
spaces is needed, the coordinator will arrange with the University Police Department for
an area to be marked off for the camp.
Cross Reference: None
Responsible for Implementation: Vice President for University Affairs
Contact for Revision: Director of Student Services/Director of Student Center
Forms: Medical Release and Consent Form (available in Student Center Administration);
Camp/Conference Reservation Contract (available in Student Center Administration);
Camp Director's Check List Form (available in Student Center Administration)
Board Committee Assignment: Building & Grounds
Appendix 3
P-21
Campus Facilities for Political Purposes (B-5)
Original Implementation: April 27, 1970
Last Revision: October 12, 2009October 22, 2012
While the use of the facilities of the university for partisan political assemblies and
meetings is not normally encouraged, the faculty and administration, as members of a
learned and honorable profession, may properly exercise their acknowledged individual
rights and obligations of citizenship free of university discipline or censorship.
Individual political candidates and their election organizations are not permitted to
reserve a university facility for campaign activities. However, if a candidate is invited by
a university group, then he/she may appear in the facility, provided that the group
extending the invitation is responsible for reserving the facility and meeting the costs
related to the event.
No member of the Board of Regents shall undertake to influence the political opinions of
personnel subject to the board’s jurisdiction, but such personnel are requested to exercise
their individual rights or citizenship or academic freedom in a responsible manner
reasonably calculated not to identify or associate with the university.
A university employee may not use his/her official authority or influence to coerce the
political action of a person or body.
Cross Reference: Board of Regents Rules and Regulations; Tex. Gov’t Code § 556.004
Responsible for Implementation: President
Contact for Revision: President
Forms: None
Board Committee Assignment: Building and Grounds
Appendix 3
P-22
Continuing Education (A-32)
Original Implementation: March 9, 1978
Last Revision: April 19, 2011October 22, 2012
The purpose of continuing education and community/public service activities is to
support the public service and outreach responsibilities of theStephen F. Austin State
uUniversity.
Definitions
Continuing education (CE) activities are defined as consists of organized public activities
offeredsponsored by the university, or a constituent unit of the university,a unit that
provide participants some type of non-academic credit, continuing education credit or
certification for participants such as enrichment experiences, workshops, short courses,
certificate courses, training, life-long learning, leisure learning, camps, or travel.
Continuing education activities may include short courses, seminars, workshops, training
sessions, conferences or institutes.A reasonable fee may be charged for these activities.
Community/public (CP) service activities are organized public educational activities
sponsored by the university, or a constituent unit of the university, that do not offer any
type of credit or certification. Community/public service activities may include camps,
speaker series, travel experiences or leisure learning.
Class projects/assignments, internships/practicums, class guest lectures, individual
faculty presentations for community organizations, student activity programs or student
organization service projects are not covered by this policy.
Responsibility for Continuing Education at the University
Units offering continuing educationCE/CP activities shall have administrative,
assessment and programming responsibilities. All activities must be submitted by the
administrator to his or her supervisor for approval.
A reasonable fee may be charged for CE/CP activities.
To bear the name of the university or any of its units, fees for all continuing education
activities must be received and accounted for by university accounting procedures.
Facilities for continuing educationCE/CP activities must be reserved in accordance with
university policies, covering Use of University Facilities (B-1) and Academic Space for
Appendix 3
P-23
Non-Academic Activities (B-2). Academic programs will always be given priority for the
use of university facilities.
Awarding Continuing Education Units
When activities result in the awarding of non-academic credit, such as Continuing
Education Units, it is the responsibility of the unit offering the continuing education
activity to meet the guidelines established by the Texas Higher Education Coordinating
Board and the Southern Association of Colleges and Schools. It is the responsibility of
the unit awarding the non-academic credit to establish a transcript and keep the records
on file.
Oversight of Continuing Education Activities and Programs
While dDirect oversight of continuing educationCE/CP activities and programs is the
responsibility of the units offering the programs,activity. dDeans and non-academic
directors must approve CE/CP activities before these activities are conducted. The
Continuing Education and Community/Public Service Activities Approval form is posted
at the Academic Affairs website; this form should be submitted to the appropriate dean or
director’s office at least two weeks before the activity occurs. Deans and non-academic
directors are responsible for collecting copies of the records of suchCE/CP activities and
programs offered within their areas of responsibility and for submitting these records
annually to the office of the vice president to whom they report. The appropriate vice
president will ensure that all ongoing continuing education programs and CE/CP
activities are assessed on a regular basis and that assessment results are used to improve
the programs.
Awarding Continuing Education Units
When activities result in the awarding of non-academic credit, such as Continuing
Education Units, it is the responsibility of the unit offering the continuing education
activity to meet the guidelines established by the Texas Higher Education Coordinating
Board and the Southern Association of Colleges and Schools. It is the responsibility of
the unit awarding the non-academic credit to establish a transcript and keep the records
on file.
Cross Reference: Use of University Facilities (B-1); Academic Space for Non-Academic
Activities (B-2); Tex. Educ. Code § 54.545
Responsible for Implementation: President and Provost and Vice President for
Academic Affairs
Appendix 3
P-24
Contact for Revision: Provost and Vice President for Academic Affairs; Vice President
for University Affairs; Vice President for Finance and Administration
Forms: NoneContinuing Education and Community/Public Service Activities Approval
Board Committee Assignment: Academic and Student Affairs
Appendix 3
P-25
Faculty/Staff Athletic Ticket Purchases (F-12)
Original Implementation: Unpublished
Last Revision: October 12, 2009October 22, 2012
University faculty, staff, retirees, their spouses and dependent children are entitled to
purchase discounted season tickets for home athletic events.
Season ticket applications are mailed annually to each faculty/staff member who
purchased tickets the previous year. Information on season tickets is distributed annually
to each employee via a campus–wide email and in SFA TodayPackets of applications are
also mailed to each departmental office for distribution to department members in order
to contact as many new faculty/staff members as possible and to offer faculty/staff who
did not purchase tickets the previous year a chance to do so. Faculty/staff season tickets
are not honored during post-season play.
Cross Reference: None
Responsible for Implementation: President
Contact for Revision: Director of Intercollegiate Athletics
Forms: None
Board Committee Assignment: Academic and Student Affairs
Appendix 3
P-26
Food Services (C-13.5)
Original Implementation: January 20, 1998
Last Revision: October 12, 2009October 22, 2012
The university is committed to providing students the opportunity to participate in the
selection and evaluation of the food service provider. Students are encouraged to
participate by attending regularly scheduled meetings of the Food Service Advisory
Committee. The advisory committee provides the director of student services and food
service provider with immediate feedback on issues and concerns of the students.
Cross Reference: None
Responsible for Implementation: Vice President for University Affairs
Contact for Revision: Director of Student Services/Director of Student Center
Forms: None
Board Committee Assignment: Academic and Student Affairs
Appendix 3
P-27
Fraud (C-46)
Original Implementation: Replaces Reporting Fiscal Misconduct Policy C-46
implemented January 28, 1997
Last Revision: October 12, 2009October 22, 2012
INTRODUCTION
This policy establishes procedures and responsibilities for detecting, reporting, and
resolving instances of known or suspected fraudulent activity. The intent of the policy is
to protect the assets and interests of the university, prescribe a coordinated approach
toward investigation and resolution of fraudulent activity, and outline specific
responsibilities for individuals responding to the investigation of a fraudulent activity.
Retaliation for filing a good faith report regarding suspected fraudulent activity is
prohibited by this policy, and is cause for disciplinary action, up to and including
termination.
DEFINITIONS
A. University - Stephen F. Austin State University (SFA) and all of its components,
regardless of the source of funding.
B. Employee - All persons receiving compensation from the university, including
faculty, staff, and students. The term also includes any volunteer who provides
services to the university through an official arrangement with the university or a
university organization.
C. Management - Any administrator, manager, account holder, director, supervisor
or other individual who manages or supervises funds, assets, or other resources,
including human resources.
D. Fraud - Fraud is defined as aA representation usually of fact about a material point
which is intentionally, knowingly, or recklessly false which is believed and acted
upon byto induce a victimanother to act to the victim's damagehis or her
detriment.
E. Fraudulent Activities/Fiscal Misconduct - Defalcation, misappropriation, and
other fiscal irregularities or improprieties meeting the definition of fraud in D)
above including but not limited to:
1. dishonest, illegal, or fraudulent acts involving university property
2. forgery or alteration of documents including checks, drafts, promissory
notes, securities, purchase orders, budgets, etc.
3. forgery or unauthorized alteration by employees of employee benefit or
salary-related items such as time sheets, payroll documents, billings,
claims, surrenders, assignments, or changes in beneficiary
4. forgery or unauthorized alteration by employees of student- related items
such as grades, transcripts, loans, fees, financial aid applications, or
financial aid records
Appendix 3
P-28
5. misappropriation of funds, securities, supplies, or any other asset of the
university
6. illegal or fraudulent handling or reporting of money transactions
7. employee acceptance or solicitation of any gift, favor, or service that
might reasonably tend to influence the employee in the discharge of his or
her official duties
8. theft, destruction, or disappearance of records, furniture, fixtures,
equipment, or other records, or other assets
9. misrepresentation of information on documents
10. authorizing or receiving payment for goods not received or services not
performed
11. knowing, reckless, or intentional inaccuracies in the maintenance of books
and records or irregularities in financial reporting
12. any apparent violation of federal, state, or local laws related to dishonest
activities or fraud
13. any similar or related activity.
F. Suspected Fraudulent Activity - A reasonable belief or actual knowledge that
fraudulent activity has or is occurring. Failure to show an actual diversion of
assets or loss shall not be considered unreasonable belief.
MANAGEMENT RESPONSIBILITY
Management is responsible for detecting fraudulent or related dishonest activity in their
areas of responsibility. Management is responsible for establishing and maintaining a
system of internal control that provides reasonable assurance that improprieties are
prevented and detected. Each manager should be familiar with the types of improprieties
that might occur in his or her area and be alert for any indication that such a defalcation,
misappropriation, or other fiscal irregularity has occurred. When an impropriety is
suspected, management should determine if an error or mistake has occurred or if there
may be dishonest or fraudulent activity.
Management will support the university's fiduciary responsibilities and will cooperate
with auditors and law enforcement agencies in the detection, investigation, and reporting
of criminal acts, including prosecution of offenders. Every effort should be made to
recover university losses.
REPORTING SUSPECTED IMPROPRIETY OR FRAUDULENT ACTIVITY
Any employee of the university who knows of or suspects fraudulent activity or
improprieties must promptly:has the option to report suspected activity as follows:
 notify his or her immediate supervisor
 and/onotifyr one of the following university employeesinvestigative units: the
Department director of Audit audit Servicesservices, the Office of General
general Counselcounsel, the University Police Departmentchief of police, or
the Department director of Human human Resourcesresources; or. The unit
Appendix 3
P-29
contacted shall contact the remaining three units as appropriate to establish the
necessary investigative team and procedures.
 file a report using the university’s anonymous reporting system coordinated
by the Department of Audit Services for reporting dishonest or fraudulent
activity. The university’s reporting system, which is hosted by a third party,
can be accessed 24 hours a day by calling 1-866-294-9539 or clicking the
“Report Fraud” link on the SFA homepage.
 file a report with the Texas State Auditor’s Office by calling 1-800-TX-AUDIT
(892-8348) or visiting their website at
http://sao.fraud.state.tx.us/Default.aspx.
All of these reporting options are listed on the university’s website homepage
www.sfasu.edu under the report fraud tab.
Great care must be taken in the reporting and investigation of suspected improprieties or
irregularities to avoid incorrect accusations or alerting suspected individuals that an
investigation or audit is underway, and also to avoid making statements which could
provide a basis for a lawsuit for false accusation or other offense. The reporting
individual should not:
1. contact the suspected individual to determine facts or demand restitution; or
2. discuss the facts, suspicions, or allegations associated with the case with anyone,
unless specifically directed to do so by the director of audit services, university
police chief, general counsel, or director of human resources. Department of
Audit Services, University Police Department, or Office of the General Counsel
or Department of Human Resources.
3.2.To the extent permitted by the applicable provisions of the Texas Open
RecordsPublic Information Act, confidentiality of those reporting dishonest or
fraudulent activities will be maintained. However, the confidentiality cannot be
maintained if that individual is required to serve as a witness in legal proceedings.
The university maintains an anonymous reporting system coordinated by the Department
of Audit Services for reporting dishonest or fraudulent activity. The university’s reporting
system, which is hosted by a third party, can be accessed 24 hours a day by calling 1-866-
294-9539 or visiting the website at
https://secure.ethicspoint.com/domain/en/report_custom.asp?clientid=12866 clicking the
“Report Fraud” link on the SFA homepage. In addition, activities can be reported to the
State Auditor’s Office by calling 1-800-TX-AUDIT (892-8348) or visiting their website
at www.sao.state.tx.us/SIUhttp://sao.fraud.state.tx.us/Default.aspx.
INVESTIGATION
Prior to conducting an investigation, the following appropriate personnel will
communicate as appropriate necessary to establish the necessary investigative team:
general counsel, director of audit services, university chief of police, and director of
human resources.
Appendix 3
P-30
The Department of Audit Services will supervise all audits of allegations of defalcation,
misappropriation, and other fiscal irregularities. The Department of Audit Sservices will
have full and unrestricted access to all necessary records and personnel. All university
furniture and contents, including desks and computers, are open to inspection when there
is reasonable suspicion of a dishonest or fraudulent activity which makes such inspection
appropriate; there is no assumption of privacy. General counsel shall be contacted before
inspection of desks and computers beyond inadvertent or official access. Every effort
should be made to effect recovery of university losses.
All affected departments and/or individuals shall cooperate fully with the investigative
team to identify whether or not actual fraudulent activity has occurred.
The investigative team unit shall update university administration of on the progress of
all investigations. The scope of and individuals subject to investigations are to be
considered in determining the extent and nature of notification.
All requests for information and assistance related to investigations conducted by
auditors of federal and state agencies, which are concerned with potential dishonest or
fraudulent activities within the university, shall be forwarded immediately to the director
of audit services for consultation with the general counsel.
All inquiries from the suspected individual, their representative, or their attorney shall be
directed to the general counsel without further comment.
All reproduction of documents, evidence, and reports shall be performed within the
secured work area of the University Police Department or Department of Audit Services.
Any requests to release or review such documents will be coordinated through the
general counsel.
In order to protect the reputations of innocent persons initially suspected of wrongful
conduct and to protect the university from potential civil liability, the results of
investigations and audits will not be disclosed or discussed with anyone other than
authorized representatives of law enforcement and/or regulatory agencies and persons
associated with the university who have a legitimate need to know such results in order to
perform their duties and responsibilities, subject to provisions of the Texas Public
Information Act.
The results of all investigations will be reported to the president of the university or to the
chair of the regents’ Finance and Audit Committee when considered necessary.
Allegations of Defalcation, Misappropriation, and other Fiscal Irregularities
The director of audit services will supervise all audits of allegations of defalcation,
misappropriation, and other fiscal irregularities. The Department of Audit Services will
have full and unrestricted access to all necessary records, including e-mail, and
personnel. All university equipment, furniture, and contents, including desks and
Appendix 3
P-31
computers, are open to inspection when there is reasonable suspicion of a dishonest or
fraudulent activity which makes such inspection appropriate; there is no assumption of
privacy. The general counsel shall be contacted before inspection of desks and computers
beyond inadvertent or official access. Every effort should be made to effect recovery of
university losses.
Pursuant to Section 321.022 of the Texas Government Code, the president shall file a
report with the Office of the State Auditor if he has reasonable cause to believe that
money received from the state by the university may have been lost, misappropriated, or
misused, or that other fraudulent or unlawful conduct has occurred in relation to the
operation of the department or entity. All records of a communication by or to the state
auditor in this regard are legally considered audit working papers of the state auditor.
Allegations of Criminal Activity
When an audit reveals suspected criminal activity, or an audit is initiated due to an
allegation of criminal activity, the university police chief of police will be notified
immediately and the audit will proceed under his direction. In order to avoid the use of
investigative techniques that might prevent evidence from being used in a criminal
prosecution, the university chief of police will coordinate the criminal investigation once
probable criminal activity has been detected. The Department of Audit Services shall
assist the university police in investigations of suspected defalcation, misappropriation,
and other fiscal irregularities that require accounting and auditing knowledge of
university records.
When an audit involves allegations or reveals suspected criminal activity which may
constitute a felony offense, the university chief of police shall, when appropriate,
immediately notify the president or his designee. The director of audit services shall keep
the university chief of police informed regarding the progress of the audit.
The university chief of police, directorDepartment of aAudit sServices, and gOffice of
the General cCounsel will coordinate assistance provided to state, federal, and local law
enforcement agencies in connection with felony fraud investigations. All requests for
information and/or assistance from such agencies, received by any other component or
related entity of the university, shall be immediately forwarded to the university police
for determination and handling. All reasonable assistance will be given to law
enforcement agencies when requested.
All requests for information and assistance related to investigations conducted by
auditors of federal and state agencies, which are concerned with potential dishonest or
fraudulent activities within the university, shall be forwarded immediately to the director
of audit services for consultation with the Office of the General Counsel.
Appendix 3
P-32
In order to protect the reputations of innocent persons initially suspected of wrongful
conduct and to protect the university from potential civil liability, the results of
investigations and attendant audits will not be disclosed or discussed with anyone other
than authorized representatives of law enforcement and/or regulatory agencies and only
those persons associated with the university who have a legitimate need to know such
results in order to perform their duties and responsibilities, subject to provisions of the
Texas Open Records Act.
Pursuant to Section 321.022 of the Texas Government Code, the president shall file an
appropriate report with the Office of the State Auditor. All records of a communication
by or to the state auditor in this regard are legally considered audit working papers of the
state auditor.
Audits revealing violations of the Penal Code for which an audit report will be issued
shall be reduced to final report form only after consultation by university police with the
local prosecutor or the Office of the General Counsel to ensure that appropriate
documentation of the facts has been achieved in order to permit appropriate personnel
action, protect innocent persons, support appropriate civil or criminal actions, document
claims made pursuant to applicable fidelity bonds, preserve the integrity of criminal
investigation and prosecution, and avoid unnecessary litigation.
Allegations Involving Employment Conditions
The director of human resources will supervise or assist with all investigations involving
allegations that arise by nature of one’s employment that do not otherwise fall into one of
the above categories.
All inquiries from the suspected individual, their representative, or their attorney shall be
directed to thegOffice of the General Counsel without further comment.
All reproduction of documents, evidence, and reports shall be performed within the
secured work area of the University Police Department or Office of Audit Services. Any
requests to release or review such documents will be coordinated through the Office of
the General Counsel.
When an audit initi

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Stephen F. Austin State University MINUTES OF THE BOARD OF REGENTS Nacogdoches, Texas October 21 and 22, 2012 Volume 278 TABLE OF CONTENTS BOARD MINUTES FOR OCTOBER 21 AND 22, 2012 MEETING 278 Page APPROVAL OF MINUTES Board Order 13-01 Approval of July 17-18, 2012 and August 11, 2012, Minutes .............................................3 PERSONNEL Board Order 13-02 Faculty Appointments for 2012-2013 ..................................................................................3 Staff Appointments for 2012-2013 ......................................................................................5 Changes of Status for 2012-2013 .........................................................................................7 Promotions ....................................................................................................................12 Retirements ....................................................................................................................12 ACADEMIC AND STUDENT AFFAIRS Board Order 13-03 Curriculum Changes in Kinesiology ..................................................................................12 Approval of Academic and Student Affairs Policy Revisions...........................................13 BUILDING AND GROUNDS Board Order 13-04 Selection of an Engineering Firm for a Campus Hydrology Study ...................................13 Music Recital Hall Renovation ..........................................................................................14 Approval of Building and Grounds Policy Revisions........................................................14 FINANCIAL AFFAIRS Board Order 13-05 Acknowledge Receipt of Audit Services Report ...............................................................15 Approval of Annual Audit Plan, Audit Charter and Report ..............................................15 Educational Leadership Scholarship Program ...................................................................15 Grant Awards ....................................................................................................................16 Approval of Financial Affairs Policy Revisions ................................................................16 REPORTS President Chair of the Faculty Senate President of the Student Government Association Appointment of Nominating Committee for 2013-24 Board Officers APPENDICES Appendix 1 – Internal Audit Charter Appendix 2 – Grant Awards Appendix 3 – Policy Revisions -1- Stephen F. Austin State University Minutes of the Meeting of the Board of Regents Nacogdoches, Texas October 21 and 22, 2012 Austin Building 307 Meeting 278 Sunday, October 21, 2012 The regular meeting of the Board of Regents was called to order in open session at 1:35 p.m. Sunday, October 21, 2012, in the Austin Building Board Room by Chair Bob Garrett. PRESENT: Board Members: Mr. Bob Garrett, Chair Mr. Carlos Amaral Dr. Scott Coleman Mr. James Dickerson Ms. Jourdan Dukes Ms. Brigettee Henderson Mr. Steve McCarty Mr. Ken Schaefer Mr. Ralph Todd Ms. Connie Ware President: Dr. Baker Pattillo Vice-Presidents: Dr. Richard Berry Mr. Danny Gallant Mr. Steve Westbrook General Counsel: Mr. Damon Derrick Other SFA administrators, staff, and visitors The Building and Grounds Committee convened at 1:35 p.m. and adjourned at 4:00 p.m. The Finance and Audit Committee convened at 4:00 p.m. and adjourned at 4:45 p.m. The Academic and Student Affairs Committee convened at 4:45 p.m. and adjourned at 5:28 p.m. The chair called for an executive session at 5:37 p.m. to consider the following items: Deliberations Regarding the Purchase, Exchange, Lease, Sale or Value of Real Property (551.072) -2- Consideration of Individual Personnel Matters Relating to Appointment, Employment, Evaluation, Assignment, Duties, Discipline, or Dismissal of an Officer or Employee, including but not limited to the director of marketing and public affairs, the president and the vice presidents (551.074) Deliberations Regarding the Deployment, or Special Occasions for Implementation, of Security Personnel or Devices (551.076) Consultation with Attorney Regarding Legal Advice or Pending and/or Contemplated Litigation or Settlement Offers, including but not limited to EEOC filings, In Re: Dr. and Mrs. J.E. Watkins Scholarship Trust, Jacob Duffee v. Baker Pattillo, et al., Christian Cutler v. Baker Pattillo, et al., and Progressive County Mutual Insurance Company v. SFASU (551.071) The executive session ended at 7:52 p.m. and the board meeting was recessed for the evening with no further action. Monday, October 22, 2012 The chair reconvened the board meeting in open session at 9:00 a.m. on Monday, October 22, 2012. PRESENT: Board Members: Mr. Bob Garrett, Chair Mr. Carlos Amaral Dr. Scott Coleman Mr. James Dickerson Ms. Jourdan Dukes Ms. Brigettee Henderson Mr. Steve McCarty Mr. Ken Schaefer Mr. Ralph Todd Ms. Connie Ware President: Dr. Baker Pattillo Vice-Presidents: Dr. Richard Berry Mr. Danny Gallant Mr. Steve Westbrook General Counsel: Mr. Damon Derrick Other SFA administrators, staff, and visitors Student Regent Dukes led the pledge to the flags and Regent Coleman provided the invocation. -3- RECOGNITIONS Danny Gallant introduced Jake Squires from the Burke Center, who presented to Bridgettee Henderson a plaque thanking the university for assistance in transitioning the Burke Center’s facilities. Dr. Berry introduced representatives from the SFA Press, who made a presentation of a recently published book. Rose Bruford exchange students were introduced. Piero Fenci, Professor of Art, was recognized for being designated as a Texas Master by the Houston Center for Contemporary Craft. The SFA Bass Club was introduced by Dr. Westbrook. Special guests Travis Clardy, state representative-elect, and Robin Land, new publisher and editor of the Daily Sentinel, were welcomed. APPROVAL OF MINUTES BOARD ORDER 13-01 Upon motion by Regent McCarty, seconded by Regent Amaral, with all members voting aye, it was ordered that the minutes of the July 17 and 18, 2012, regular meeting of the Board of Regents and the August 11, 2012, special meeting of the Board of Regents be approved as presented. PERSONNEL BOARD ORDER 13-02 Upon motion by Regent Amaral, seconded by Regent Todd, with all members voting aye, it was ordered that the following personnel items be approved. FACULTY APPOINTMENTS FOR 2012 – 2013 BUSINESS Justin Blount, Assistant Professor of Business Communications and Legal Studies, J.D. (Baylor Law School), at an academic year salary of $78,000 for 100 percent time, effective January 1, 2013. H. Banker Phares, Senior Lecturer of Economics and Finance, J.D. (Southern Methodist University), at an academic year salary of $60,000 for 100 percent time, effective September 1, 2012. Kyle Post, Assistant Professor of Business Communications and Legal Studies, J.D. (Arizona State University), at an academic year salary of $78,000 for 100 percent time, effective January 1, 2013. -4- Nikki Shoemaker, Instructor of Accounting, M.P.A. (Stephen F. Austin State University), at an academic year salary of $100,000 for 100 percent time, effective September 1, 2012, contingent upon completion of doctorate by August 31, 2015. EDUCATION Bryan Scott Bailey, Assistant Professor of Secondary Education and Educational Leadership, Ed.D. (Stephen F. Austin State University), at an academic year salary of $53,000 for 100 percent time, effective September 1, 2012. Kelli, Drenner, Assistant Professor of Kinesiology and Health Science, Ph.D. (University of Texas), at an academic year salary of $52,000 for 100 percent time, effective September 1, 2012. William Dwyer, Visiting Assistant Professor of Secondary Education and Educational Leadership, Ed.D. (University of Florida), at an academic year salary of $51,000 for 100 percent time, effective September 1, 2012. Sheila Lumar, Visiting Assistant Professor of Human Sciences, Ph.D. (Texas Woman’s University), at an academic year salary of $47,500 for 100 percent time, effective September 1, 2012. FINE ARTS Jeffery Brewer, Visiting Assistant Professor of Art, M.F.A. (Stephen F. Austin State University), at an academic year salary of $41,000 for 100 percent time, effective September 1, 2012. Deitra Davis, Visiting Assistant Professor of Art, Ph.D. (Mississippi State University), at an academic year salary of $42,000 for 100 percent time, effective September 1, 2012. FORESTRY AND AGRICULTURE Stacie Appleton, Assistant Professor of Agriculture, Ph.D. (Texas A&M University), at an 11-month salary of $67,500 for 100 percent time, effective September 1, 2012. John Mehaffey, Assistant Professor of Agriculture, Ph.D. (Texas Tech University), at an academic year salary of $56,500 for 100 percent time, effective September 1, 2012. LIBERAL AND APPLIED ARTS Patricia Foster, Visiting Instructor of Psychology, M.A. (Stephen F. Austin State University), at an academic year salary of $43,000 for 100 percent time, effective September 1, 2012. -5- Matthew Gailliot, Visiting Assistant Professor of Psychology, Ph.D. (Florida State University), at an academic year salary of $45,000 for 100 percent time, effective September 1, 2012. Candice Kowalski, Lecturer of Psychology, B.S. (Stephen F. Austin State University), at an academic year salary of $34,000 for 100 percent time, effective September 1, 2012. SCIENCES AND MATHEMATICS Angel Brewer, Clinical Instructor of Nursing, M.S. (Grand Canyon University), at an academic year salary of $54,000 for 100 percent time, effective September 1, 2012. Debra McCarthy, Clinical Instructor of Nursing, M.S. (University of Texas), at an academic year salary of $54,000 for 100 percent time, effective September 1, 2012. Volha Minich, Lecturer of Biology, M.S. (Stephen F. Austin State University), at an academic year salary of $39,500 for 100 percent time, effective September 1, 2012. Marcia Nelson, Clinical Instructor of Nursing, M.S. (Stony Brook University), at an academic year salary of $54,000 for 100 percent time, effective September 1, 2012. David Smith, Clinical Instructor of Nursing, M.S.N. (Western Governors University), at an academic year salary of $54,000 for 100 percent time, effective September 1, 2012. Katy Trotty, Clinical Instructor of Nursing, B.S.N. (Stephen F. Austin State University), at an academic year salary of $42,000 for 100 percent time, effective September 1, 2012. STAFF APPOINTMENTS FOR 2012 – 2013 ALUMNI AFFAIRS Judith Barroeta, Coordinator of Alumni Marketing and Communications, at an annual salary of $38,500 for 100 percent time, effective August 13, 2012. ATHLETICS Steven Condon, Athletic Trainer, at an annual salary of $39,609 for 100 percent time, effective August 6, 2012. Jeremy Moses, Assistant Football Coach, at 10.5-month salary of $35,000 for 100 percent time, effective July 30, 2012. Stephanie Wooten, Head Tennis Coach, at a 10.5-month salary of $40,000 for 100 percent time, effective July 2, 2012. -6- CAMPUS RECREATION Scott Wagner, Assistant Director – Facility and Member Services, at an annual salary of $42,000 for 100 percent time, effective October 1, 2012. CONTROLLER’S OFFICE Jacqueline Cornelius-Tomsic, Accountant II, at an annual salary of $44,000 for 100 percent time, effective September 4, 2012. EDUCATION Monique Nunn, Project Director for Deep East Texas P-16 Regional Council, at an annual salary of $29,250 for 75 percent time, effective September 10, 2012 Ragan Philliber, Charter School Teacher, at a 10.5-month salary of $38,100 for 100 percent time, effective September 1, 2012. Juliana Rodriguez-Akerson, Charter School Teacher, at a 10.5-month salary of $45,900 for 100 percent time, with an additional stipend of $108.33 per month for 10.5 months, effective September 1, 2012. Nola Schmidt, Project Director of CONFIANZA, at an annual salary of $65,000 for 100 percent time, effective August 24, 2012. FINE ARTS Robbie Goodrich, Director of Arts Information, at an annual salary of $45,000 for 100 percent time, effective September 1, 2012. HEALTH SERVICES Ann Drayman, Nurse Practitioner, at a 10.5-month salary of $80,000 for 100 percent time, effective August 1, 2012. RESEARCH AND SPONSORED PROGRAMS Beverly Morehouse, Grants and Contract Specialist, at an annual salary of $55,400 for 100 percent time, effective September 17, 2012. RESIDENCE LIFE Stephanie Ballard, Hall Director, at an annual salary of $28,250 for 100 percent time, effective July 2, 2012. -7- Ryan Brinkman, Hall Director, at an annual salary of $28,167 for 100 percent time, effective July 30, 2012. Erin Ellis, Hall Director, at an annual salary of $28,167 for 100 percent time, effective August 6, 2012. Yvonne Hinshaw, Hall Director, at an annual salary of $28,250 for 100 percent time, effective August 6, 2012. Kiet Le, Area Coordinator, at an annual salary of $32,000 for 100 percent time, effective July 23, 2012. Nechele McClinton, Hall Director, at an annual salary of $28,250 for 100 percent time, effective July 23, 2012. Jeremie Middleton, Hall Director, at an annual salary of $28,250 for 100 percent time, effective July 16, 2012. STUDENT PUBLICATIONS Julie Akers, Coordinator of Student Publications, at an annual salary of $33,800 for 100 percent time, effective August 20, 2012. CHANGES OF STATUS FOR 2012 – 2013 BUSINESS Stephen Bradley, from Instructor and Assistant Director of Computer Science Lab at an academic year salary of $51,288 for 100 percent time, to Business Technology Coordinator at an annual salary of $60,000 for 100 percent time, effective September 1, 2012. Deborah D. Dufrene, from Professor and Associate Dean of Rusche College of Business at an annual salary of $126,000 for 100 percent time, to Professor and Associate Dean of Rusche College of Business at an annual salary of $126,000 for 100 percent time, with an additional stipend of $1167 per month for two months for additional duties, effective July 16, 2012. Jack Ethridge, from Professor of Accounting at an academic year salary of $108,150 for 100 percent time, to Professor of Accounting and Interim MPA Director, at an academic year salary of $108,150 for 100 percent time, with an additional stipend for interim duties of $250 per month for five months, effective August 1, 2012. Geralyn Franklin, from Professor and Associate Dean of Rusche College of Business at an annual salary of $126,000 for 100 percent time, to Professor and Interim Dean of Rusche College of Business, at an annual salary of $126,000 for 100 percent time, with -8- an additional stipend for interim duties of $3,250 per month for two months, effective July 16, 2012. Mikhail Kouliavtsev, from Associate Professor of Economics and Finance at an academic year salary of $80,340 for 100 percent time, to Associate Professor of Economics and Finance and Interim MBA Director, at an academic year salary of $80,340 for 100 percent time, with an additional stipend for interim duties of $800 per month for five months, effective August 1, 2012. Michael Stroup, from Professor of Economics and Finance at an academic year salary of $98,515 for 100 percent time, to Professor of Economics and Finance and Interim Director of School of Accountancy, at an academic year salary of $98,515 for 100 percent time, with an additional stipend for interim duties of $750 per month for five months, effective August 1, 2012. Laura Turner, from Academic Advisor at an annual salary of $36,000 for 100 percent time, to Academic Advisor with an annual salary of $36,000 for 100 percent time, with an additional stipend of $500 per month for interim assignment for two months, effective July 16, 2012. CAMPUS RECREATION Travis Lankford, from casual employee in Campus Recreation at an annual salary of $28,598 for 100 percent time to Coordinator of Campus Recreation-Sports Clubs and Camps at an annual salary of $32,000 for 100 percent time, effective September 24, 2012. CAREER SERVICES Binta Brown, from Counselor in Counseling and Career Services at an annual salary of $42,242 for 100 percent time, to Director of Career Services at an annual salary of $52,000 for 100 percent time, effective August 1, 2012. Brandi Hampton, from Administrative Assistant in Counseling and Career Services at an annual salary of $30,255 for 100 percent time, to Coordinator of Career Services at an annual salary of $35,000 for 100 percent time, effective August 16, 2012. COUNSELING SERVICES Jennifer Klingenberg, from Counselor in Counseling and Career Services at an annual salary of $41,200 for 100 percent time, to Counselor with a change in job assignment at an annual salary of $42,363 for 100 percent time, effective September 1, 2012. John Mlinar, from Counselor of Career Services and Research Coordinator at an annual salary of $41,200 for 100 percent time, to Counselor Intern and Research Coordinator at an annual salary of $41,200 for 100 percent time, effective September 1, 2012. -9- DISABILITY SERVICES Margaret Hilton, from Staff Interpreter and Coordinator of Deaf and Hard-of Hearing Services at an annual salary of $39,433 for 100 percent time, to Senior Interpreter and Coordinator of Deaf and Hard-of-Hearing Services at an annual salary of $44,000 for 100 percent time, effective September 1, 2012. Tiffany Rivers, from Assistant Director of Disability Services at an annual salary of $52,290 for 100 percent time, to Director of Disability Services at an annual salary of $63,000 for 100 percent time, effective July 17, 2012. EDUCATION Barbara Davis, from Director of Project Gear Up at an annual salary of $79,463 for 100 percent time, to Director of Project Gear Up with changes in job assignment at an annual salary of $81,847 for 100 percent time, effective September 1, 2012. Sandra Delgado, from Associate Director of Project CTE at an annual salary of $75,000 for 100 percent time, to Associate Director of Project CTE with changes in job assignment at an annual salary of $76,500 for 100 percent time, effective September 1, 2012. Brenda Hill, from Associate Director of Project Gear Up at an annual salary of $73,360 for 100 percent time, to Associate Director of Project Gear Up with change in job assignment at an annual salary of $73,490 for 100 percent time, effective September 1, 2012. Cyndra Krogen-Morton, from Adjunct Faculty in Kinesiology and Health Science at a five-month salary of $7,500 for 75 percent time, to Visiting Lecturer of Kinesiology and Health Science, at an academic year salary of $45,000 for 100 percent time, effective September 1, 2012. Raquel Skidmore, from Administrative Assistant at an annual salary of $32,400 for 100 percent time, to Academic Advisor at an annual salary of $36,500 for 100 percent time, effective July 16, 2012. FINE ARTS Scott Harris, from Associate Professor of Music at an academic year salary of $56,830 for 100 percent time, to Associate Professor of Music and Interim Director of the School of Music, at an annual salary of $56,830 for 100 percent time with an additional stipend for interim duties of $2,579 per month, effective September 1, 2012. John Roberts, from Professor of Music and Director of the School of Music, at an annual salary of $97,000 for 100 percent time, to Professor of Music at an academic year salary of $75,000 for 100 percent time, effective September 1, 2012. -10- FORESTRY AND AGRICULTURE Jason Grogan, from Research Specialist for Temple Project, at an annual salary of $46,000 for 100 percent time, to Research Specialist for Temple Project with changes in current job assignment at an annual salary of $47,380 for 100 percent time, effective September 1, 2012. Paul Weatherford, from Laboratory Associate-Waters of East Texas, at an annual salary of $42,436 for 100 percent time, to Laboratory Associate-Soils Lab, at an annual salary of $43,709 for 100 percent time, effective September 1, 2012. LIBERAL AND APPLIED ARTS Paul Bellinger, from Assistant Professor of Government at an academic year salary of $46,000 for 100 percent time, to Instructor of Government at an academic year salary of $43,000 for 100 percent time, effective September 1, 2012. Julie Brotzen, from Adjunct Faculty in Psychology at an academic year salary of $28,840 for 100 percent time, to Lecturer of Psychology at an academic year salary of $31,000 for 100 percent time, effective September 1, 2012. Michael Martin, from Associate Professor of English at an academic year salary of $54,024 for 100 percent time, to Associate Professor and Director of the Division of Multidisciplinary Programs at an annual salary of $85,500 for 100 percent time, effective September 1, 2012. Brook Poston, from Assistant Professor of History at an academic year salary of $46,000 for 100 percent time, to Instructor of History at an academic year salary of $43,000 for 100 percent time, effective September 1, 2012. MULTICULTURAL CENTER Amanda Flores, from Assistant Director of Multicultural Center at an annual salary of $39,140 for 100 percent time, to Interim Director of Multicultural Center at an annual salary of $39,140 for 100 percent time with an additional stipend for interim duties of $500 per month for five months, effective August 15, 2012. PUBLIC AFFAIRS AND MARKETING Shirley Luna, from Interim Executive Director of Public Affairs and Marketing at an annual salary of $63,502 for 100 percent time with an additional monthly stipend of $2,000, to Executive Director of Public Affairs and Marketing at an annual salary of $107,000 for 100 percent time, effective October 23, 2012. -11- RESIDENCE LIFE Amy Tedesco, from Hall Director at an annual salary of $28,000 for 100 percent time, to Area Coordinator at an annual salary of $32,000 for 100 percent time, effective July 1, 2012. SCIENCES AND MATHEMATICS Lurah Bryant, from Assistant Director of Piney Woods Area Health Education Center at an annual salary of $38,000 for 100 percent time, to Assistant Director of Piney Woods Area Health Education Center with a change in job assignment at an annual salary of $39,170 for 100 percent time, effective September 1, 2012. Kimberly Childs, from Dean of College of Sciences and Mathematics at an annual salary of $143,500 for 100 percent time, to Dean of the College of Sciences and Mathematics with additional STEM Center responsibilities at an annual salary of $169,404 for 100 percent time, effective September 1, 2012. Mike Janusa, from Professor and Chair of Chemistry at an annual salary of $108,291 for 100 percent time, to Professor and Chair of Chemistry and Interim Director of Science Research Center at an annual salary of $108,291 for 100 percent time, with an additional stipend for interim duties of $1,000 per month, effective September 1, 2012. Deborah Pace, from Professor and Chair of Mathematics and Statistics at an annual salary of $106,198 for 100 percent time, to Professor and Chair of Mathematics and Statistics and Interim Associate Dean of the College of Sciences and Mathematics at an annual salary of $106,198 for 100 percent time, with an additional stipend for interim duties of $1,000 per month, effective September 1, 2012. Randall Scott, from Director of Piney Woods Area Health Education Center at an annual salary of $52,000 for 100 percent time, to Director of Piney Woods Area Health Education Center with a change in job assignment at an annual salary of $53,560 for 100 percent time, effective September 1, 2012. Mavis Yarbrough, from Coordinator-Piney Woods Area Health Education Center at an annual salary of $32,000 for 100 percent time, to Coordinator-Piney Woods Area Health Education Center with change in job assignment at an annual salary of $32,960 for 100 percent time, effective September 1, 2012. STUDENT AFFAIRS Lacey Claver, from Assistant Coordinator of Student Activities Programs at an annual salary of $34,051 for 100 percent time, to Coordinator of Student Activities at an annual salary of $38,000 for 100 percent time, effective September 1, 2012. -12- James Maple, from Head Coach Pom Squad at an annual salary of $24,585 for 100 percent time, to Head Spirit Coach at an annual salary of $28,000 for 100 percent time with an additional stipend of $400 per month, effective September 1, 2012. Jason Williams, from Assistant Coordinator of Spirit Programs at an annual salary of $12,999 for 50 percent time, to Head Spirit Coach at an annual salary of $28,000 for 100 percent time, effective July 9, 2012. PROMOTIONS Gene Moon was granted promotion to Assistant Professor Music, effective fall semester, 2012. RETIREMENTS The following retirements were accepted: Joe Gotti, Professor of Agriculture, effective August 31, 2012 Gary Frields, Professor of Art, effective August 31, 2012 Sylvia Bierschenk, Director of Arts Information, August 31, 2012 Judith Lauter, Professor of Human Services, August 31, 2012 Michael Rustad, Supervisor of Building Trades, August 31, 2012 ACADEMIC AND STUDENT AFFAIRS BOARD ORDER 13-03 Upon motion by Regent Henderson, seconded by Regent Todd, with all members voting aye, it was ordered that the following academic and student affairs items be approved. CURRICULUM CHANGES IN KINESIOLOGY WHEREAS, the board considered the following: Changes in curriculum originate in the department and are reviewed by the college and university curriculum committees, the graduate council, the appropriate dean and the provost and vice president for academic affairs. After approval by the Board of Regents, curriculum changes are submitted to the Texas Higher Education Coordinating Board. THEREFORE, the Board of Regents approved the following undergraduate curriculum changes: -13- BS in Kinesiology, Fitness and Human Performance Studies, Modify Program BS in Kinesiology, Fitness and Human Performance Studies, New Minor ACADEMIC AND STUDENT AFFAIRS POLICY REVISIONS The Board of Regents adopted the following policy revisions as presented in Appendix 3: Authority for Official Statements (D-6) Authorization for University President to Suspend Faculty and Staff (D-8) Bookstore Textbook Orders (F-4) Continuing Education (A-32) Faculty/Staff Athletic Ticket Purchases (F-12) Food Services (C-13.5) Guest Speaker (F-15) Mail Services (F-18) Notary Public (F-21) Organized Work Stoppage (E-34) Reduction in Force of Non-Academic Employees (E-41N) Selection of Vice Presidents, Athletic Director and Head Coaches (D-30.1) Sick Leave (E-47) Sick Leave Pool (E-47.1) Student Center Operations (B-29) Students Displaying Serious Psychological Problems (D-35) Student Records (D-13) Ticket Office Services (F-30) BUILDING AND GROUNDS BOARD ORDER 13-04 Upon motion by Regent McCarty, seconded by Regent Amaral, with all members voting aye, it was ordered that the following building and grounds items be approved. SELECTION OF AN ENGINEERING FIRM FOR A CAMPUS HYDROLOGY STUDY WHEREAS, the board considered the following: The SFA Campus Master Plan contains a campus well distribution initiative and university’s 2012-13 Capital Plan includes a campus hydrology study project. In order to conduct the study, a request for engineering qualifications was issued. The university reviewed the submissions and developed a set of finalists for presentation to the Board of Regents. The three finalist firms of Alan Plummer Associates, Inc., Freese and Nichols, and KSA Engineers were interviewed by the Building and Grounds Committee at its meeting on October 21, 2012; the Building and Grounds Committee recommended Freese and Nichols as the most qualified firm -14- with which to begin negotiations for a campus hydrology study to assess the water needs of the university. THEREFORE, the Board of Regents authorized the university to begin negotiations with Freese and Nichols for a campus hydrology study at a cost not to exceed $150,000 and that the president be authorized to sign all contracts. Designated funds will be used for the study. MUSIC RECITAL HALL RENOVATION WHEREAS, the board considered the following: The Music Recital Hall serves as a performance venue for SFA music students and guest artists as well as a teaching facility for courses in the music major and in the core curriculum. The recital hall was treated only superficially in the music building renovation of 1998 and it still uses the basic lighting system it has had since original construction in 1969. The room needs substantial renovation to make it consistent in appearance and quality with the rest of the Tom and Peggy Wright Music Building. The Development Office has solicited and received approximately $90,000 in gifts to support the needed renovation and lighting system upgrade and will continue to solicit donations for this project. The total project cost will not exceed $170,000. THEREFORE, the board of Regents authorized the Music Recital Hall Renovation Project as presented at a cost not to exceed $170,000. The higher education fund (HEF) and designated funds will be used to supplement the total donations that have been committed to the project. BUILDINGS AND GROUNDS POLICY REVISIONS The Board of Regents adopted the following policy revisions as presented in Appendix 3: Assembly and Demonstrations (D-23) Camp and Conference Reservations (B-4) Campus Facilities for Political Purposes (B-5) Vending (F-31) FINANCIAL AFFAIRS BOARD ORDER 13-05 Upon motion by Regent Coleman, seconded by Regent Schaefer, with all members voting aye, it was ordered that the following financial items be approved. -15- ACKNOWLEDGE RECEIPT OF AUDIT SERVICES REPORT WHEREAS, the board considered the following: The Board Rules and Regulations state that the director of audit services shall assist the board in carrying out its oversight responsibilities as they relate to the university’s a) financial and other reporting practices, b) internal control, and c) compliance with laws, regulations and ethics. The director of audit services reports to the Board of Regents on the status of the annual audit plan, internal external reports, risk assessment and audit/compliance issues. The audit services report as presented includes an audit of university bank reconciliations, departmental audit of the development office, annual follow up review and update on annual audit plan. THEREFORE, the Board of Regents acknowledged receipt of the audit services report, as presented. APPROVAL OF ANNUAL AUDIT PLAN, AUDIT CHARTER AND REPORT WHEREAS, the board considered the following: According to the Rules and Regulations of the Board of Regents, the director of audit services shall annually submit information on the annual audit plan, work schedule and staffing plan to the president for his review and to the Board of Regents for their approval. The director shall submit an annual report as required by Art. 6252-5d, V.T.C.S., recodified at Government Code, Chapter 2101. The annual report shall be submitted to the president and the board for review prior to public dissemination. In addition, the International Standards for the Professional Practice of Internal Auditing require the internal audit charter to be approved on an annual basis. It is included as Appendix 1. THEREFORE, the Board of Regents approved the annual audit plan and the audit charter for 2012-13 and acknowledged the 2011-12 audit report, as presented. EDUCATIONAL LEADERSHIP SCHOLARSHIP PROGRAM WHEREAS, the board considered the following: In order to increase enrollment of working professionals and compete with sister institutions in Texas, SFA piloted a scholarship program for master’s students in the online educational leadership degree program. The response to the pilot scholarship program has been very successful. Graduate enrollment in the degree program has increased 79%. Since Fall 2011 the program has added 279 new students. THEREFORE, it was ordered that the educational leadership scholarship program continue. The program will continue to be monitored. Designated funds will be used to fund the scholarship program. -16- GRANT AWARDS WHEREAS, the board considered the following: Fiscal year 2012 - The university received multi-year grant awards totaling $50,272,318 that included funds allocable to fiscal year 2012. This includes $174,821 in new awards since the last report. Of the multi-year total, grant awards allocable to fiscal year 2012 were $12,652,558, an increase of $75,789 since the last report. Fiscal year 2013 - To date, the university has received multi-year grant awards totaling $22,046,715 that include funds allocable to fiscal year 2013. This includes $1,644,330 in new awards since the last report. Of the multi-year total, grant awards allocable to fiscal year 2013 are $6,789,746. The grant awards result from extensive faculty research and service engagement across many academic disciplines. The grants include direct federal, federal pass through, state and private awards. THEREFORE, the Board of Regents approved and ratified the additional grant awards allocable to fiscal year 2012 that total $75,789 and additional grant awards allocable to fiscal year 2013 that total $6,789,746. This includes approval of a $100,000 subaward to Texas State University to review the pilot program activities of the STEPS project, funded through the Texas Higher Education Coordinating Board. The grant awards are detailed in Appendix 2. FINANCIAL POLICY REVISIONS The Board of Regents adopted the following policy revisions as presented in Appendix 3: Fraud (C-46) Private Support Organizations or Donors (D-25.5) Receipts and Deposits (C-5) Risk Management (E-43.5) Student Fiscal Appeals (C-57) REPORTS President Baker Pattillo presented a report on the following: Upcoming Dates Strategic Planning Committee Congressional Art Competition Admission Standards Legislative Session SFA’s 90th Anniversary -17- Dr. Linda Bob, chair of the Faculty Senate, presented a report on the following: Faculty Participation at Battle of the Piney Woods Faculty Senate Retreat Internal Committee Assignments Policy Review Process Summer Teaching Compensation Dennis Hagans, president of the Student Government Association, gave the following report: Efforts to Encourage Voter Registration Athletic Fee Jacks’ Charge and Give ‘em the Axe Programs Golden Rule Program Chair Bob Garrett appointed the following regents to the nominating committee for 2013- 2014 board officers: Chair Brigettee Henderson, Ken Schaefer and Connie Ware. The meeting was adjourned at 10:20 a.m. Appendix 1 1 STEPHEN F. AUSTIN STATE UNIVERSITY DEPARTMENT OF AUDIT SERVICES INTERNAL AUDIT CHARTER October 22, 2012 Purpose Internal auditing is an independent, objective assurance and consulting activity designed to add value and improve the university’s operations. It helps the university accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control and governance processes. The purpose of the Department of Audit Services is to provide the Board of Regents and the president an independent appraisal of the adequacy and the effectiveness of the university's system of internal administrative and accounting controls and the quality of performance when compared with established standards. The primary objective is to assist the Board of Regents, the president and university management in the effective discharge of their responsibilities. Authority The Department of Audit Services is an integral part of Stephen F. Austin State University and functions within established policies. The director of audit services reports functionally to the Board of Regents and administratively to the president. The Department of Audit Services will have unrestricted access to all university activities; records, both manual and electronic; property; and personnel relevant to any area being reviewed. Members of the audit services' staff will handle all documents and other information acquired in the course of their duties prudently. Standards and Independence The department will operate within the guidelines of the Texas Internal Auditing Act (Article 6252 – 5d., V.A.C.S.), the Institute of Internal Auditors (IIA) Professional Practices Framework which includes the Definition of Appendix 1 2 Internal Auditing, the Code of Ethics, and the International Standards for the Professional Practice of Internal Auditing as mandatory guidance. In addition, where applicable the department will follow Generally Accepted Government Auditing Standards (GAGAS). The department’s internal auditors will uphold the principles of integrity, objectivity, confidentiality, and competency. Internal auditors will be independent of the activities or operations they review; they will not engage in any activity which would impair their independence. Responsibility The Department of Audit Services will fulfill its responsibility to the board and the president by: developing an audit plan based on a risk analysis which includes consideration of the university’s goals and objectives and the concerns of management and the board. providing audit coverage that consistently meets the needs and expectations of management following up on identified weaknesses, findings and recommendations from previous audit work participating in a program of quality assurance designed to ensure the increasing professionalism of the department and standard of the work performed performing consulting services including advisory and related service activities, the nature and scope of which are agreed upon and which are intended to add value and improve the university’s governance, risk management, and control processes without assuming management responsibility. Examples include counsel, advice, facilitation, training, and committee service. Annually the director of audit services will submit information on the annual audit plan, work schedule, and staffing plan to the president for his review and to the Board of Regents for their approval. Quarterly the director will provide activity reports to the president and the board detailing progress against the annual audit plan, audit accomplishments, and highlights of any significant audit findings and recommendations. The director of audit services will submit reports as required to the state auditor’s office, governor’s office, Legislative Budget Board and Sunset Advisory Commission. The scope of audit activities will include all controls, reports and operations of the university. The Department of Audit Services will examine and evaluate: Appendix 1 3 The reliability and integrity of financial and operating information and the means used to identify, measure, classify and report information. The systems established to ensure compliance with policies, plans, procedures, laws and regulations that could have a significant impact on the university. The means of safeguarding assets and verifying their existence. The economy and the efficiency with which resources are employed. The extent to which the operations and programs of the university are consistent with its objectives and goals. The ethics objectives and activities of the university. The potential for fraud and the management of fraud risk. Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 1 Summary Report – Fiscal Year 2012 Total New Current Year Awards (this period) – as of August 31, 2012 Subtotal direct federal $ 6,778 Subtotal federal pass-through $ 53,966 Subtotal state and state pass-through $ 5,845 Subtotal private entity and local government $ 9,200 Total new awards (this period) $ 174,821 Total current year awards for awards active in 2012 $ 12,652,558 Total awards (all years) for awards active in 2012 $ 50,272,318 New, Additional, or Previously Unreported Awards for FY 2012 Direct Federal Awards Previously Described Awards Habitat Use, Movements, and Survival of White-tailed Deer at Barksdale AFB FY 2012 Award: $6,778 (additional award) Total Award: $187,226 Subtotal Current Year Awards (this report) = $6,778 Subtotal New Direct Federal Awards (total award) = $ 0 Federal Pass-through Awards *Child Welfare Professional Development Project FY 2012 Award: $23,529 Total Award: $143,171 (Interagency Agreement - renewal) Sponsor: TX Dept. of Family and Protective Services (U.S. Dept. of Health and Human Services) Term (this action): July 1, 2012 – June 30, 2013 Description: The purpose of this federally funded program is to provide a staff development and training program that supports the goals in the Child and Family Services state plan for Title IV-E training, which include enhancing the skills of CPS workers through education in social work and providing opportunities for ongoing foster parent and staff training. PI/PD: Becky Price-Mayo, School of Social Work Appendix 2 Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 2 *Probing Los Adaes: Geophysical and Archaeological Investigations of the Priests and People of Los Adaes FY 2012 Award: $ 9,680 Total Award: $25,150 Sponsor: Cane River National Heritage Area (U.S. Dept. of the Interior) Term (this action): June 18, 2012 – June 19, 2017 Description: This project will involve a geophysical survey of the Mission Hill areas of Los Adaes and a residence located near the mission. A comparison of the two areas will allow insights into the life of the priests and civilians/soldiers at Los Adaes. PI/PD: Dr. George Avery, Center for Regional Heritage Research, Department of Social and Cultural Analysis Previously Described Awards Visually Impaired Preparation (VIP) Program FY 2012 Award: $15,000 (additional award) Total Award: $502,000 Special Education Consolidated Grant (IDEA-B) FY 2012 Award: $5,757 (additional award) Total Award: $60,531 Subtotal Current Year Awards (this report) = $ 53,966 Subtotal New Federal Pass-through Awards (total award) = $168,321 State and State Pass-through Awards *College and Career Readiness Initiative - Faculty Collaborative in Social Studies FY 2012 Award: $1,000 Total Award: $1,000 (Fixed-price Contract) Sponsor: The University of Texas at Arlington (TX Higher Ed. Coord. Bd.) Term (this action): May 15, 2012 – May 17, 2012 Description: SFA will fully participate in the CCRI Faculty Collaborative in Social Studies, which includes implementation of CCRS and PASS materials into a course for social studies teachers throughout the Fall Semester 2012, and a summary and presentation of implementation strategies and results. PI/PD: Dr. Elizabeth Witherspoon, Department of Elementary Education Previously Described Awards NEC4 Statistical Analysis for SUCCESS Project FY 2012 Award: $4,845 (additional award) Total Award: $11,870 Subtotal Current Year Awards (this report) = $5,845 Subtotal New State/State Pass-through Awards (total award) = $1,000 Appendix 2 Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 3 Private and Local Government Awards *Poultry Science Education Student Recruitment FY 2012 Award: $3,000 Total Award: $3,000 (Grant – renewal) Sponsor: U.S. Poultry and Egg Association Term (this action): October 4, 2011 - August 1, 2012 Description: Funds are provided to aid in recruiting efforts directed at high school and community college students to attract majors in Poultry Science. PI/PD: Dr. Joey Bray, Department of Agriculture *Woden Water Supply Corporation Project: Phase II FY 2012 Award: $2,500 Total Award: $2,500 (Fixed Price Contract) Sponsor: Woden Water Supply Corporation Term (this action): July 16, 2012 – August 25, 2012 Description: This contract incorporates four functional elements: acquisition of field locations for approximately 650 water locations; development of a working geospatial database for all water meter locations; development of geographic information systems (GIS) geodatabase suitable to be linked to a billing database; and a report detailing the methodology and use of the water meter geodatabase and suggestions for implementation. PI/PD: Dr. Darrel McDonald, Department of Government Previously Described Awards NMC Apartment Agreement (AHEC Apartment Utilities Fund) FY 2012 Award: $3,700 (additional award) Total Award: $8,500 Subtotal Current Year Awards (this report) = $9,200 Subtotal New Private/Local Government Awards (total award) = $5,500 Appendix 2 Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 4 Fiscal Year 2013 Total New Current Year Awards (this period) – as of September 25, 2012 Subtotal direct federal $ 2,803,848 Subtotal federal pass-through $ 1,270,780 Subtotal state and state pass-through $ 2,360,192 Subtotal private entity and local government $ 354,926 Total new awards (this period) $ 1,644,330 Total current year awards for grants active in 2013 $ 6,789,746 Total awards (all years, to date) for grants active in 2013 $22,046,715 Direct Federal Awards *McIntire Stennis Cooperative Forestry Research Program FY 2013 Award: $440,788 Total Award: $440,788 (Formula Grant - renewal) Sponsor: U.S. Dept. of Agriculture Term (this action): October 1, 2011 – September 30, 2013 Description: Funds are allocated for the conduct of forestry research and the necessary expenses of planning and directing of research conducted by the school of forestry. PI/PD: Dr. Steve Bullard, College of Forestry and Agriculture *Bat Occurrence Relative to Silvicultural Treatments Intended to Yield Desired Forest Conditions for Priority Wildlife FY 2013 Award: $78,662 Total Award: $78,662 (Grant) Sponsor: U.S. Dept. of the Interior (Fish & Wildlife Service) Term (this action): June 26, 2012 - September 30, 2013 Description: The purpose of this project is to collect baseline inventory data for bat species occurrence on several National Wildlife Refuges in the Lower Mississippi Alluvial Valley with emphasis on identifying occurrence of priority species such as Rafinesque’s big-eared bat and southeastern myotis. PI/PD: Dr. Christopher Comer, School of Forestry *More Kids in the Pineywoods FY 2013 Award: $41,677 Total Award: $41,677 (Challenge Cost-share Agreement) Sponsor: U. S. Dept. of Agriculture (U.S. Forest Service) Term (this action): June 21, 2012 – July 31, 2017 Appendix 2 Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 5 Description: This is a conservation education program that will provide weekly outdoor experiences for 60 at-risk youth (ages 6-12); field-based science field trips for 3,200 K-5 public school children; monthly field trips and outdoor activities for 75 underserved families; and 4 week-long day camps for 60 youth, including interactions with resource professionals, hands-on activities, experiential learning, outdoor skills, and critical thinking to help children make connection with nature. PI/PD: Elyce Rodewald, SFA Gardens, Department of Agriculture *From Mission San Juan Bautista to Fort St. Jean Baptiste: The Cultural Landscape of El Camino Real de los Tejas FY 2013 Award: $24,999 Total Award: $24,999 (Cooperative Agreement) Sponsor: U.S. Dept. of the Interior (National Park Service) Term (this action): July 30, 2012 – January 30, 2015 Description: Through this cooperative project, SFA and National Park Service staff will prepare an illustrated and professionally designed manuscript that will expand the historic and photographic resource database of the El Camino Real de los Tejas National Historic Trail. PI/PD: Christopher Talbot, School of Art *Wilderness Recreation Site Inventories – Phase II FY 2013 Award: $15,000 Total Award: $15,000 (Challenge Cost-share Agreement) Sponsor: U. S. Dept. of Agriculture (U.S. Forest Service) Term (this action): August 02, 2012 – September 30, 2014 Description: This project will enable SFA to educate students in all aspects of wilderness management including wilderness recreation site inventory and monitoring to prepare qualified monitoring personnel for the U.S. Forest Service within all wilderness areas. PI/PD: Dr. Pat Stephens-Williams, School of Forestry *National Visitor Use Monitoring Preparation Survey Research FY 2013 Award: $5,000 Total Award: $5,000 (Cooperative Agreement) Sponsor: U. S. Dept. of Agriculture (U.S. Forest Service) Term (this action): June 25, 2012 – September 30, 2014 Description: This project will provide the U.S. Forest Service with recreational trends data of the National Forests and National Grass Lands for multiple uses and for sustained yields of products and services in the best combination for the use, enjoyment and education of the American people. PI/PD: Dr. Pat Stephens-Williams, School of Forestry Previously Described Awards Gaining Early Awareness and Readiness for Undergraduate Programs for Success FY 2013 Award: $1,184,212 Total Award: $7,445,050 Appendix 2 Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 6 CONFIANZA - Research Study to Assess the Impact of Professional Development on English Language Learners FY 2013 Award: $397,933 Total Award: $1,988,947 Talented Teachers in Training for Texas (T4) FY 2013 Award: $225,187 Total Award: $1,449,996 Vocational Rehabilitation Counselor Training FY 2013 Award: $147,380 Total Award: $747,380 Orientation and Mobility for the Blind Training Program FY 2013 Award: $ 98,253 Total Award: $496,000 Environmental Availability of Lead and Use Moist-Soil Management to Attract Waterfowl on the Texas NWRs FY 2013 Award: $79,627 (additional award) Total Award: $142,170 Northeast Region Public Engagement at Three National Park Sites: Evaluation and Future Strategies FY 2013 Award: $43,419 Total Award: $75,000 Protecting Cultural Resources at Glen Canyon NRA FY 2013 Award: $7,500 Total Award: $30,000 Collaborative Research: UTMOST - Undergraduate Teaching in Mathematics with Open Software and Textbooks FY 2013 Award: $6,498 Total Award: $45,986 Habitat Occupancy and Origins of American Woodcock Wintering in East Texas FY 2013 Award: $5,400 Total Award: $69,984 An Investigation of Chytridiomycosis and Amphibian Declines in East Texas FY 2013 Award: $1,509 Total Award: $20,000 El Camino Real de los Tejas Oral History Research Project from the Sabine River to the Angelina River, Texas - Phase III FY 2013 Award: $804 Total Award: $19,296 Subtotal Current Year Awards (this report) = $2,803,848 Subtotal New Direct Federal Awards (total award) = $ 606,126 Federal Pass-through Awards *Visually Impaired Preparation (VIP) Program FY 2013 Award: $502,000 Appendix 2 Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 7 Total Award: $502,000 (Interagency Agreement - renewal) Sponsor: TX School for the Blind and Visually Impaired (U.S. Dept. of Education) Term (this action): September 1, 2012 – August 31, 2013 Description: SFA will prepare, or begin to prepare, 34 new professionals taking coursework leading to endorsement in visual impairment or Academy for Certification of Vision Rehabilitation and Education Professionals certification in Orientation and Mobility. PI/PD: Dr. Dixie Mercer, Department of Human Services *State Leadership Educational Excellence for CTE in Education & Training, Hospitality and Tourism, and Human Services FY 2013 Award: $325,000 Total Award: $325,000 (Grant - renewal) Sponsor: Texas Education Agency (U.S. Dept. of Education) Term (this action) September 1, 2012 – August 31, 2013 Description: The purpose of this continuing, federally funded project is to help independent school districts implement rigorous TEKS curriculum standards and provide professional development opportunities to improve teacher effectiveness. PI/PD: Dr. Lynda Martin, School of Human Sciences *Community-based Cemetery Interpretation – Part 2 FY 2013 Award: $58,922 Total Award: $58,922 (Interlocal Agreement) Sponsor: City of Nacogdoches (U. S. Dept. of the Interior - NPS) Term (this action) August 20, 2012 – June 30, 2013 Description: This additional agreement will allow for the completion of interpretive, educational and digital projects for Oak Grove and Zion Hill cemeteries and assist participating communities with their cemetery interpretation efforts through workshops, technical assistance, web-based services and mini-grants. PI/PD: Dr. Mark Barringer, Center for Regional Heritage Research, Department of History *Special Education Consolidated Grant (IDEA-B) FY 2013 Award: $27,777 Total Award: $27,777 (Formula Grant) Sponsor: Texas Education Agency (U.S. Dept. of Education) Term (this action) August 07, 2012 – September 30, 2013 Description: Funds are provided for instructional support at the SFA Charter School, including early identification, intervention and counseling services for students with impairments and disabilities. PI/PD: Ms. Lysa Hagan, Charter School, Department of Elementary Education *Geriatric Education Center (GEC) FY 2013 Award: $21,600 Total Award: $21,600 Appendix 2 Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 8 Sponsor: U.T. Medical Branch – Galveston (U. S. Dept. of Health and Human Services) Term (this action): July 1, 2012 – June 30, 2013 Description: The purpose of this federally sponsored program is to help provide high-quality, continuing education in geriatrics and to improve health care for older adults including those in rural communities. PI/PD: Mark Scott, Texas Area Health Education Center East – Piney Woods Region, College of Sciences and Mathematics *Texas Undergraduate Mathematics Conference FY 2013 Award: $2,960 Total Award: $2,960 (Memorandum of Understanding) Sponsor: Mathematical Association of America (National Science Foundation) Term (this action): August 1, 2012 – December 31, 2012 Description: The goal is to provide opportunities for undergraduate students in the mathematical sciences to make presentations in a supportive and non-threatening atmosphere. PI/PD: Dr. Nicholas Long, STEM Center, Department of Mathematics and Statistics *MLK Day of Service FY 2013 Award: $1,000 Total Award: $1,000 (Subaward) Sponsor: Service for Peace (AmeriCorps) Terms (this action): September 21, 2012 – March 8, 2013 Description: This award is to help SFA combine meaningful service, thoughtful reflection, and inclusion of a diverse cross section of the community as volunteers to celebrate the life and work of Dr. King. PI/PD: Dr. Jamie Bouldin, University Affairs Previously Described Awards Child Welfare Professional Development Project FY 2013 Award: $119,642 Total Award: $143,171 Avian Community Dynamics in Bottomland Hardwood Forests of East Texas FY 2013 Award: $117,590 Total Award: $452,320 Women of Color (WOC) Grant Evaluation FY 2013 Award: $50,000 Total Award: $250,000 State View Program Development and Operations for the State of Texas FY 2013 Award: $23,500 (additional award) Total Award: $119,441 Development of a Watershed Protection Plan for Attoyac Bayou FY 2013 Award: $10,797 Total Award: $194,348 Appendix 2 Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 9 Probing Los Adaes: Geophysical and Archaeological Investigations of the Priests and People of Los Adaes FY 2013 Award: $9,992 Total Award: $25,150 Subtotal Current Year Awards (this report) = $1,270,780 Subtotal New Federal Pass-through Awards (total award) = $ 939,259 State and State Pass-through Awards *Math, Science, and Technology Teacher Prep Academies Conference Management FY 2013: $25,000 Total Award: $25,000 Sponsor: TX Higher Education Coordinating Board Term (this action) August 1, 2012 – August 31, 2013 Description: Funds are provided to administer the Fifth Annual Math, Science, and Technology Teacher Preparation Academies Leader’s annual conference and technical workshop for the state’s operating MST TPA programs. PI/PD: Dr. Kimberly Childs, STEM Center, College of Sciences and Mathematics Previously Described Awards SFA Charter School (ADA) FY 2013 Award: $1,815,754 Total Award: $1,815,754 Systemic Texas Educator Preparation Sites (STEPS) for College and Career Readiness Demonstration Project FY 2013 Award: $132,500 (additional award) Total Award: $965,000 NOTE: The additional award includes $100,000 designated by the Texas Higher Education Coordinating Board for a subaward to Texas State University. At-Risk Nursing Student Tracking and Intervention Project FY 2013 Award: $112,500 Total Award: $300,000 SFA Mathematics, Science, and Technology (MST) Academy FY 2013 Award: $85,000 (additional award) Total Award: $983,441 Career Planning Laboratory – Employment Related Services for DBS FY 2013 Award: $50,000 Total Award: $200,000 Rehabilitation Counseling Internship Stipends FY 2013 Award: $41,640 Total Award: $83,280 Appendix 2 Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 10 Disability Services - Interpreter Services FY 2013 Award: $35,000 (additional award) Total Award: $140,000 Southeast Texas P-16 Council Special Advisors Initiative – Math and Science Support FY 2013 Award: $33,333 Total Award: $75,000 Disability Services – Reader Services FY 2013 Award: $16,000 Total Award: $32,000 Joint Admission Medical Program (JAMP) FY 2013 Award: $13,465 (additional award) Total Award: $42,922 Subtotal Current Year Awards (this report) = $2,360,192 Subtotal New State and State Pass-through Awards (total award) = $ 25,000 Private Entity and Local Government Awards *Beaumont Foundation of America Scholarships FY 2013 Award: $60,000 Total Award: $60,000 (Grant - renewal) Sponsor: Beaumont Foundation Term (this action): August 1, 2012 – June 30, 2013 Description: The purpose of this grant is to fund the Gilbert I. “Buddy” Low Scholarship Program for five students continuing from 2011-12 and three additional students to be enrolled in the fall 2012. PI/PD: Mr. Michael O’Rear, Financial Aid *Rehobeth Cemetery Project: Phase I FY 2013 Award: $7,300 Total Award: $7,300 (Fixed Price Contract) Sponsor: Rehobeth Cemetery Association Term (this action) September 1, 2012 – December 31, 2012 Description: The purpose of this contract is to generate an updated cemetery plot map using GPS and GIS technologies. PI/PD: Dr. Darrel McDonald, Center for Regional Heritage Research, Department of Government *East Texas Child Care Administrative Fee FY 2013 Award: $4,845 Total Award: $4,845 (Interlocal Agreement) Sponsor: Workforce Solutions East Texas (Texas Workforce Commission) Term (this action): October 1, 2011 – September 30, 2012 Description: This award supports the administrative costs of Early Childhood Lab (ECL) staff in the reporting of matching funds. PI/PD: Lori Harkness, ECL, Department of Elementary Education *Tournées Festival Film Program Appendix 2 Report to the Board of Regents – October 2012 Grants1 awarded between June 19, 2012 and September 25, 2012 *New awards 1For purposes of this report, the term grant refers to awards in the form of grants, contracts, and other types of agreements from external sponsors. It does not include federal financial aid, non-grant scholarships, or gifts. Prepared by the Office of Research & Sponsored Programs 11 FY 2013 Award: $1,800 Total Award: $1,800 (Grant - renewal) Sponsor: French-American Cultural Exchange Term (this action): September 1, 2012 – August 31, 2013 Description: This award supports the screening of contemporary French cinema on the SFA campus. PI/PD: Dr. Joyce Johnston, Department of Modern Languages Previously Described Awards Child Care Training FY 2013 Award: $210,000 Total Award: $300,000 Bilingual Social Work Scholarship Program FY 2013 Award: $27,019 Total Award: $103,101 James I. Perkins Family Research Associates in Elementary Education FY 2013 Award: $15,000 Total Award: $75,000 Nacogdoches Naturally Staff Support FY 2013 Award: $9,375 Total Award: $12,500 Economics Reading Group FY 2013 Award: $7,600 (additional award) Total Award: $14,600 Lake Naconiche: Wetlands Monitoring FY 2013 Award: $5,862 Total Award: $30,608 Longleaf Pine Data Collection – Research Internship FY 2013 Award: $3,125 Total Award: $17,500 Mathematics, Science, and Technology (MST) Academy – ISD Match FY 2013 Award: $3,000 (additional award) Total Award: $75,000 Subtotal Current Year Awards (this report) = $354,926 Subtotal New Private and Local Government Awards (total award) = $ 73,945 Note: Amounts are based on award notices as they are received from the funding entity, not on expenditures or balances in funds/accounts. To reflect the approximate availability of funds in a given fiscal year, some current year awards are estimates based on the total amount awarded spread over the award period. Appendix 2 Policies for Board Review October 22, 2012 Policy Name Policy Number BOR Cte Major Action/Change Page Number Assembly and Demonstrations D-23 B&G No single reservation can exceed 5 days; added consequences for violations. P-3 Authority for Official Statements D-6 ASA Reviewed with no changes. P-6 Authorization for University President to Suspend Faculty and Staff D-8 ASA Reviewed with no changes. P-7 Bookstore Textbook Orders F-4 ASA Added board committee assignment. P-8 Camp and Conference Reservations B-4 B&G Deadlines set or updated; cancellation fee increased. P-9 Campus Facilities for Political Purposes B-5 B&G Reviewed with no changes. P-22 Continuing Education A-32 ASA Added definitions; fees may be charged; oversight detailed; CEU responsibilities added. P-23 Faculty/Staff Athletic Ticket Purchases F-12 ASA Information will be distributed by email and online. P-26 Food Services C-13.5 ASA Added board committee assignment. P-27 Fraud C-46 FA Major rewrite. P-28 Guest Speaker F-15 ASA Minor clarifications. P-35 Mail Services F-18 ASA Minor changes; added board committee assignment. P-37 Notary Public F-21 ASA Detailed procedures removed. P-39 Organized Work Stoppage E-34 ASA Cross references updated. P-41 Private Support Organizations or Donors D-25.5 FA Reviewed with no changes. P-42 Appendix 3 P-1 Policy Name Policy Number BOR Cte Major Action/Change Page Number Receipts and Deposits C-5 FA Managing bank accounts and transferring funds among accounts is responsibility of controller. P-44 Reduction in Force of Non- Academic Employees E-41N ASA Added board committee assignment. P-54 Risk Management E-43.5 FA Reorganization of information and minor updates. P-57 Selection of Vice Presidents, Athletic Director and Head Coaches D-30.1 ASA BOR may elect to participate. P-63 Sick Leave E-47 ASA Reorganization of information and minor updates. P-64 Sick Leave Pool E-47.1 ASA Minor updates. P-68 Student Center Operations B-29 ASA Minor updates. P-72 Student Fiscal Appeals C-57 FA Detailed procedures removed. P-80 Students Displaying Serious Psychological Problems D-35 ASA Behavior Intervention Team added. P-82 Student Records D-13 ASA Minor clarifications. P-88 Ticket Office Services F-30 ASA Minor clarifications. P-96 Vending F-31 B&G Title updates and board committee assigned. P-98 Appendix 3 P-2 Assembly and Demonstrations (D-23) Original Implementation: July 1980 Last Revision: July 21, 2009October 22, 2012 I. Introduction 1. Stephen F. Austin State University reaffirms its commitment to the freedoms of speech, expression and assembly by establishing this policy. Individuals have the right to assemble, to speak, and to attempt to attract the attention of others, and corresponding rights to hear the speech of others when they choose to listen, and to ignore the speech of others when they choose not to listen. 2. The rules articulated in this policy apply to all students, faculty, staff, and their official organizations, as well as all other persons and groups. Due to practical administrative realities, this policy does not apply to university agents and employees when they are acting in the course and scope of their agency or employment. This exception also includes the official activities of the SFA Alumni Association and the SFASU Foundation. 3. Students, faculty and staff are free to express their views, individually or in organized groups, orally, by sign or exhibit, on any topic, in all parts of the campus. Persons not affiliated with the university are free to express their views orally, by sign or exhibit, on any topic in areas designated for that purpose. These expressions are subject only to rules necessary to preserve equal rights of others and the functions of the university. Teaching, research and other official functions of the university shall have priority in allocating the use of space on campus. II. Definitions 1. "Student" shall mean any person registered for academic credit at the university. 2. "Faculty" and "Staff" shall mean any person employed by the university. 3. "Official organization" shall mean any organization recognized by the university. III. Rules These rules shall govern the conduct of all assemblies and demonstrations on university property or at university-sponsored events. 1. Assemblies and demonstrations must be conducted in compliance with these rules, all other applicable university policies, and must not: a. result in a breach of peace or violation of law; Appendix 3 P-3 b. negatively impact the security, health and safety of persons and/or property on campus; c. interfere with the free and unimpeded flow of pedestrian and vehicular traffic on campus or the entry or exit into university buildings; d. materially disrupt or interfere with the normal activities of the university; e. negatively impact the beauty of the university's grounds, buildings, and facilities; or f. create unnecessary costs and waste university resources. 2. No person conducting or participating in an assembly or demonstration on university property or at university-sponsored events may advocate the deliberate violation of the law. For the purposes of this section, "advocate" means speech directed to inciting or producing the audience for imminent action with the likelihood of producing such action, as opposed to the abstract espousal of the moral propriety of a course of action. 3. Students, faculty, staff and their official organizations may assemble and/or demonstrate anywhere on university grounds between the hours of 8 a.m. and 7 p.m., Monday through Saturday, as long as the assembly and/or demonstration adheres to the provisions of Items 1 and 2 of this subsection and all applicable university policies and procedures, and a properly submitted SFA Group Grounds Reservation Form has been approved. 4. All other persons and groups may assemble and demonstrate in designated areas between the hours of 8 a.m. and 7 p.m., Monday through Saturday, as long as the assembly and/or demonstration adheres to the provisions of Items 1 and 2 of this subsection and all applicable university policies and procedures, and a properly submitted Outside Group Grounds Reservation form Grounds Reservation Form has been approved. 5. Requests to reserve campus grounds for an assembly and/or demonstration must be made in writing using a Grounds Reservation Formthe appropriate form. This These forms is are available in the Student Activities office and on the Student Activities Web site. The completed form must be submitted to the Student Activities office Assistant Dean of Student Affairs for Programs for approval and must be received at least forty-eight (48) hours in advance of the activity. This advance notice allows the university the opportunity to avoid the problem of simultaneous and/or competing assemblies or demonstrations and to arrange for adequate security. Each The Grounds Reservation Form form requires the applicant to provide his/her name, address and phone number, in addition to signing and dating the form. The form must be signed and dated by the applicant Although a reservation may be requested as many times per year as desired, no single reservation request can exceed 5 working days. Appendix 3 P-4 6. Persons or groups reserving space and not using the space and which results in a violation of subsection 1above may receive a verbal warning for their first offense, a written warning for their second offense and after a third occasion may be restricted from reserving campus grounds for a period not to exceed one year from the date of the last infraction. 5.7. Persons or groups who violate this policy may, based on the severity of the offense, be restricted from using university facilities or grounds. Such restriction will be made by the Assistant Dean of Student Affairs for Programs and may be appealed to the Dean of Student Affairs. Cross reference: SFA Web pages; Signs and Exhibits, (D-31); Use of Amplified Sound on Campus Grounds, (D-21); U.S. Const. amend. I; U.S. Const. amend. XIV, § 1. Responsible for Implementation: President Contact for revision: Dean of Student Affairs Forms: SFA Group Grounds Reservation Form; Outside Group Grounds Reservation Form Board Committee Assignment: Building and Grounds Appendix 3 P-5 Authority for Official Statements (D-6) Original Implementation: January 22, 1977 Last Revision: October 12, 2009October 22, 2012 The Board of Regents hereby reserves the authority and responsibility for determining matters of policy and official statements concerning any political or other subjects of an obviously controversial nature which represent an official policy, statement, or position of the Board of Regents or of the university. Statements, policies, and positions by the Board of Regents on such matters shall be made by the board through the chair of the board or the president of the university. No regent, officer, faculty or staff member shall have the authority to speak for or issue any public statements on policy for and on behalf of the Board of Regents, or of the university, on such matters without prior approval of the board. Cross Reference: Board of Regents Rules and Regulations Responsible for Implementation: President Contact for Revision: President Forms: None Board Committee Assignment: Academic and Student Affairs Committee Appendix 3 P-6 Authorization for the University President to Suspend Faculty and Staff (D-8) Original Implementation: April 27, 1970 Last Revision: October 12, 2009October 22, 2012 Without prior notice or hearing, the president of the university may suspend without pay and immediately remove from the university, or assign to other duties with pay, any employee who: 1. poses a continuing danger to persons or property; 2. disrupts the orderly operation of the university; 3. endangers the education of students; 4. has been convicted by a trial court of any felony or a crime of moral turpitude. The president shall immediately notify the general counsel of such action. In such cases the president will set a hearing before the appropriate administrator or committee on the employee's case as soon thereafter as is practical unless otherwise waived by the employee. Cross Reference: Board of Regents Rules and Regulations Responsible for Implementation: President Contact for Revision: President Forms: None Board Committee Assignment: Academic and Student Affairs Appendix 3 P-7 Bookstore Textbook Orders (F-4) Original Implementation: Unpublished Last Revision: October 12, 2009October 22, 2012 Every semester the textbook manager in the Barnes and Noble University Bookstore sends each academic department chair textbook information forms, instructions for completion, and a list of adopted books with new editions in print. Required textbooks are selected and optional books are recommended by each department chair for the following semester. Approximate due dates for departmental selections to be returned to the university bookstore are listed below. 1. Fall semester - March 1 2. Spring semester - October 10 3. Summer semesters - March 1 Following internal checks of textbook inventories, buy-back quantities, and quantities sold in previous semesters, the bookstore places purchase orders with publishers. If problems arise during the purchasing process, the bookstore notifies the appropriate department chair and if necessary, new textbook selections are made. Cross Reference: None Responsible for Implementation: Vice President for University Affairs Contact for Revision: Director of Student Services/Director of Student Center Forms: None Board Committee Assignment: Academic and Student Affairs Appendix 3 P-8 Camp and Conference Reservations (B-4) Original Implementation: 1987 Last Revision: October 12, 2009October 22, 2012 Each year Stephen F. Austin State University is host to a variety of camps, clinics, workshops and conferences on the main campus. To facilitate the many and varied requests of these groups, the coordinator for university reservations and conferences (coordinator), referred to in this booklet as the coordinator, located in the student center, is available to assist camp directors in arranging housing, meal tickets, meeting space, insurance, parking permits and banquets. A camp, as referred to in this documentpolicy, refers to all special programs, camps and conferences. Eligibility Any camp or conference requesting use of university facilities must have a university sponsor. If profit-making agencies are involved with the program, the sponsoring organization must receive prior approval from the vice president for finance and administration to conduct the camp. It is the responsibility of the university sponsor to ensure that programs and activities conducted in the student center or at other locations on the university campus are in compliance with the Americans with Disabilities Act and the SFA Campus Programs for Minors guidelines. Age of Participants Camp participants under ten (10) years of age are not permitted to stay overnight in the residence halls unless accompanied by parents and under close supervision at all times. Request for Camp/Conference Facilities Camp directors must submit a completed Camp/Conference Reservation Contract at least sixty (60) days prior to the start of the camp to the coordinator to request the use of university facilities. An estimated number of attendees (including counselors and directors) for the camp must be included on this form. Housing, meal cards, meeting space and other requests will be reserved according to the stated needs on this form. Completion and return of these forms as early as possible will help assure that each specific need will be met. Some areas are limited and will be supplied on a first-come, first-serve basis. A packet containing passes, tickets, insurance forms and instructions will be assembled and should be picked up at the coordinator's office two (2) weeks before the scheduled camp date. Insurance Requirements Appendix 3 P-9 It is the responsibility of the university sponsor to provide documentation to the coordinator to ensure that each group has appropriate liability coverage. All non-credit participants spending the night in university residence halls must be insured. A per camper/night fee will be assessed at the completion of the camp and included on the invoice for camp expenses. A list of names of all participants to be insured must be submitted to the office of the coordinator on the first working day of the camp session. Completion of insurance forms is the responsibility of the university sponsor/camp director. Forms returned because of insufficient information are also the university sponsor/camp director's responsibility. Health Clinic A university Medical Release and Consent Form must be completed and signed by the parent/guardian of each camper under age 18. Neither the university health clinic nor local hospitals will treat a minor student without this release form in hand. The camp director is responsible for having these forms signed and readily accessible at all times in case of an emergency. Insurance cClaim forms are available from the coordinator as needed. The attending SFA health clinic physician/professional will forward the claim form to the insurance carrier following a medical visit. In the event that a camper requires treatment at a local hospital, the insurance claim form must be returned to the coordinator to ensure correct processing of the claim. No claim will be processed without the signature of a camp official. A camp official must accompany a student camper to the university health clinic, local hospital emergency room or pharmacy. Emergency Phone Numbers All camp participants should be informed that a campus 911 number is available to them should an emergency take place. Parents of participants should be informed of the twenty-four (24) hour emergency phone number (936) 468-2608 at the University Police Department. Billing Procedures Billing for summer camps will be handled through the coordinator's office. Costs for meals, housing and insurance will be negotiated each year and the projected costs made available upon request. An account number or billing address should be supplied at the time of the original camp reservation. Upon completion of the camp, invoice for all lodging, damages, lost keys, meals, special banquets, SFA food service deliveries and Appendix 3 P-10 pick-ups, insurance, and other applicable costs will be issued to the camp director. Any damages, etc. discovered after the close of the camp will remain the camp director's responsibility. Payment must be made in full within 30 days of the date of the invoice. Camp cancellations must be made in writing to the coordinator. Cancellations within one month to two weeks prior to the starting date of the camp will incur a $100 cancellation fee. There will be a $200150-per-day charge for each day that the camp was scheduled when the cancellation is made within two weeks of the beginning date of the camp. Housing The camp director should estimate as closely as possible the number of students and counselors needing university housing for the camp session. Space will be reserved as per the reservation completed by the camp director. Concurrent camps may result in two or more groups occupying the same residence hall. Before the camp session, the camp director will receive lists of final hall assignments, summer hall directors and their current phone numbers. Two weeks before the camp session, the university will send floor plans, roommate lists, information specific to the building, such as rooms being used for storage and not available to campers, and the current phone number for the hall director. The camp director should contact the hall director as soon as the lists are received and should keep the hall director updated on changes and special needs the camp may have in the hall. If it is necessary for a camp to have staff or campers arrive one night early or check out one day later than the main camp, the early arrivals/late checkouts may be housed in a different facility for this time. Any early arrivals or late checkouts must have authorized supervision. Final Arrangements At least two (2) weeks prior to the start of the camp session, the camp director should contact the coordinator to finalize arrangements. Issues to be discussed include early arrivals, pre-camp inventory of the residence hall, check-in and checkout procedures, room assignments, storage of equipment, late departures and post-camp inventory of the residence hall. The SFA Housing Department is responsible for the overall cleaning of the residence halls, but it is the camp director's responsibility to make sure campers' posters, trash and other items are removed from the rooms and taken to the dumpster. The camp director is responsible for removal of any writing on walls, mirrors or doors prior to departure. Appendix 3 P-11 Housing damages and lost key charges are assessed after the group has left the residence hall , and but remain the camp director's responsibility. (See Damages for more information.) Groups meeting in the lobbies of the residence halls are responsible for the general cleaning of these areas. Food deliveries are not permitted after the front desk closes. Participants may not use hallways, floors, or rooms other than those assigned to the camp. Special Accommodations Any camper or conference attendee needing special accommodations due to a disability should contact the coordinator ten (10) days prior to arrival on campus. The Camp/Conference Director Responsibilities (Participants, as presented below, refers to all individuals associated with the camp/conference including campers, instructors, staff and guests.) The camp/conference director: 1. Provides counselors and staff in adequate numbers to provide camper safety for the camps. (A minimum of one counselor per ten campers is required. Campers must be supervised at all times.).; 2. Inspects residence hall facilities immediately prior to and after the camp session; 3. Advises participants of appropriate check-in and checkout procedures including charges for damages and lost keys; 4. Familiarizes participants with university policies, especially those pertaining to fire and emergency evacuation procedures, appropriate conduct, possession of controlled substances and fire arms, and authorized entry into rooms; 5. Maintains discipline of all participants; 6. Cooperates with the residence hall director and staff who are responsible for the safety, security and maintenance of the building; 7. Collects and has readily available all Medical Release and Consent Forms on all participants; 8. Informs the university in advance of early and late arrivals; 9. Completes insurance forms at the time of treatment; 10. Handles insurance forms returned for lack of student information; 11. Furnishes the coordinator with a camp roster as soon as possible but no later than twenty-four twelve (12) (24) hours after camp check-in begins; and Appendix 3 P-12 12. Ensures that programs and activities conducted in the student center or at other locations on the university campus are in compliance with the Americans with Disabilities Act and the Campus Programs for Minors guidelines. The Hall Director's Responsibilities The hall director is responsible for supervising the SFA residence hall staff. He/she will develop a comprehensive work schedule and assist with distribution of keys and room assignments as needed to provide the best possible service to camp guests. The hall director will be available to assist the camp/conference director in providing adequate supervision and disciplinary guidelines to campers. After camp completion, the hall director will be responsible for submitting to the Residence Life Department the final count of rooms/beds used. The hall director: 1. Acts as a daily contact person to assigned groups; 2. Prepares staff for handling emergencies and familiarizes them with overall building layout (elevators, fire alarms, etc.); 3. Interprets, supports and enforces university policies, procedures and regulations; 4. Completes work orders and maintenance requests as needed for efficient hall maintenance; 5. Completes administrative paperwork as required by the Residence Life Office or the Housing Department; and 6. Assesses all housing charges at the conclusion of the conference. Residence Hall Contact Numbers Hall Phone Cell Phone Wisely (936)468-2600 (936)652-8205 Todd (936)468-2800 (936)652-8207 North (936)468-3000 (936)652-8209 Hall 10 (936)468-3200 (936)652-8210 Mays (936)468-3700 (936)652-8211 South (936)468-3900 (936)652-8212 Lodge (936)468-2400 (936)652-8203 Hall 14 (936)468-4609 (936)652-8214 Griffith (936)468-4909 (936)652-8215 Hall 16 (936)468-5109 (936)652-8216 Steen (936)468-5201 (936)652-8171 Kerr (936)468-5301 (936)652-8218 Hall 20 (936)468-2595 (936)652-8220 Appendix 3 P-13 Village (936)468-4300 (936)652-8133 The hall director reports to the coordinator of residence life. The Residence Hall Staff's Responsibilities The residence hall staff, under the supervision of the coordinator of residence life and the day-to-day responsibility of the hall director, will assist in summer camp programs. The hall staff: 1. Cooperates with the hall director in the operation of the residence hall; 2. Assists with check-in and preparation of facilities for each camp; 3. Assists with checkout and inspection of rooms at the close of each camp; 4. Performs desk responsibilities during assigned desk hours, gives information, checks guests in and out, issues keys, takes messages, and/or any other duties deemed necessary; 5. Serves as a referral/resource person to camp participants; 6. Assists in acquainting camp director with university policy, emergency procedures and facilities lay-out; 7. Maintains necessary reports and an accurate accounting of money, keys, maintenance requests, damages, etc.; 8. Is accessible in emergency situations; 9. Maintains duty hours as assigned by the hall director; 10. Attends staff meetings as assigned by the hall director; and, 11. Performs other duties as assigned by the hall director. Residence Hall Rules and Regulations  Agenda/Schedule A copy of the agenda or schedule for each conference group must be left with the hall director to assist the residence hall staff in directing students during their stay.  Alcohol Alcohol is not allowed in residence halls at any time.  Cleaning Fee Appendix 3 P-14 Cleaning charges may result if the participant leaves the room in any condition that requires custodial personnel to be called in for extra cleaning or the removal of trash from the building.  Controlled Substance Unlawful use, manufacture, possession or delivery of any controlled substance or dangerous drug is prohibited in residence halls.  Damages The camp will be charged for any damages to the residence hall or its furnishings. Attaching signs or posters to the doors or the walls with tape may result in damage charges. The university is not responsible for any damage to a camper's room as a result of theft, vandalism or maintenance failure. The Housing Department encourages a representative from each group to conduct a walk-through inspection of each room prior to the arrival of the camp. All pre-existing damages should be noted at that time. The hall director will be available to inspect each room with the camp director upon request. The camp director is responsible for removal of any writing on walls, mirrors or doors prior to departure. Housing damages and lost key charges are assessed after the group has left the residence hall, but remain the camp director's responsibility.  Desk The desk will be open from 10 a.m. until the camp curfew (no later than midnight). Messages for camp participants received by desk attendants will be posted in a central location and not delivered to individual rooms. The hall director will unlock the front doors at the time requested by the camp director. The front door will be locked at midnight, or earlier if requested. Anyone who is locked out of the building may use the emergency phone located next to the door to contact the University Police Department for admittance to the building.  Desk Deliveries Deliveries of prepaid merchandise may be made to the residence hall desk while it is open. Desk assistants will notify participants of a delivery, but shall in no way be made accountable for such items. Occupants will be contacted for deliveries when payment is needed.  Discipline and Supervision Appendix 3 P-15 It is the responsibility of the camp director or camp staff to administer discipline to participants who violate camp or university regulations. On occasions when camp personnel are not available, residence hall personnel will temporarily handle the situation. In cases of chronic or severe discipline problems, the residence hall director reserves the right to recommend that a camp participant is sent home. Violation of federal, state or municipal law will require the involvement of the University Police Department. All camps must provide on-site camper supervision throughout the duration of the camp. This includes overnight supervision within the residence hall.  Emergency In case of an emergency, call 911 or University Police at (936) 468-2608.  Entry-Authorized Entry Into Rooms Entry into a residence hall does not normally constitute a search. University personnel and the camp staff may enter a room to remove a potential fire, safety or health hazard; to perform maintenance; to correct situations intruding upon the comfort of others (a phone or alarm clock continuously ringing, loud radios, etc.); to retrieve items upon request of the participant's immediate family; and to retrieve the personal belongings of other individuals where there is no apparent dispute to ownership of the property. All other situations which would require entry into a room should be coordinated with the hall director who may consult with University Police.  Evacuation Procedures All persons are required to evacuate a building when an emergency alarm is activated. If an alarm sounds, each person must leave the room and proceed to the nearest clear exit. Stairwells must be used instead of elevators. If the camper is unable to exit the room, a towel, sheet, or similar item should be placed outside the window, so that emergency personnel will know that someone is in the room. Camp directors may request that a fire drill be scheduled during the camp by contacting the hall director prior to arrival.  Facility Sharing In order to be more energy efficient, two or more camps may be scheduled in the same facility. Appendix 3 P-16  Firearms Possession or use of weapons or explosives (such as pistols, rifles, shotguns, firecrackers, cherry bombs, or any weapons prohibited by laws of the state of Texas) in university-owned or university-controlled buildings is prohibited.  Fire Safety No incense or candles may be burned in residence halls. If an extinguisher is maliciously discharged, a fee for refilling the extinguisher and for clean-up will be assessed. Transmission of a false alarm is a violation of state law and violators will be prosecuted.  Gambling Gambling in any form is prohibited.  Games Because of potential physical harm or residence hall damage, active games such as running and the use of frisbees, footballs, ice or water fights etc., are not allowed within residence halls. It is the responsibility of the camp to store the equipment for the camp such as basketballs, etc.  Guests With Disabilities Camp guests that need any special accommodations should contact SFA's camp coordinator ten (10) days prior to arrival.  Housekeeping Housekeeping staff are on duty Monday through Friday. Common areas of the residence halls and community bathrooms are cleaned daily. Cleaning of individual rooms and trash in individual rooms is the responsibility of the camper. Any housekeeping concerns should be reported to the front desk.  Keys Keys are issued according to the camp director's request and university policy at the time of check-in. Keys must be turned in to residence hall staff at checkout. A replacement fee will be assessed for each key that is not returned at the end of the camp session. This charge covers the cost to change the lock and make a new set of Appendix 3 P-17 keys. Camp officials will not be issued master or front door keys to any building. In the event a camper is locked out of a room, camp staff will be asked to confirm the identity and room assignment of the camper before a new key is issued. Each camp director will develop the camp procedure for lockouts and assessing the cost to campers.  Laundry Facilities Coinless washing machines and dryers are located in each residence hall.  Lost and Found Lost and found items should be turned in to the front desk. At the end of each camp, the camp director may pick up any lost and found items. Anything left over from the camp will be turned in to the Student Center Information Desk on campus. SFA will not be responsible for lost or stolen items.  Maintenance Any maintenance problems should be reported to the hall director or desk personnel. Abuse of elevators, televisions, laundry machines or ice equipment or other excessive maintenance charges may be billed to the camp.  Medication The residence hall staff will not dispense any type of medication to a camper. Contact the SFA health clinic at (936) 468-4008 if a camper will need assistance with medication during the camp session.  Movies No movies may be shown in the residence hall lobbies due to licensing law restrictions.  Pets No pets are allowed within the residence halls.  Public Areas Appendix 3 P-18 Eating, drinking and smoking are not permitted in the lobbies, hallways, laundry rooms, community baths or other public areas. Pizza parties, etc. should be held outside or the food distributed and the campers dispersed to their rooms.  Roommates The camp director will handle all roommate problems. If a room change is necessary, consult the hall director.  Smoking No smoking is allowed in the residence halls or on the front porches during camps.  Storage Rooms used for reasons other than living space will be charged the private room rate, (i.e., storage, offices or conference rooms).  Telephones The university does not furnish telephones for individual residence hall rooms. Camp staff members are encouraged to bring telephones. Local telephone service is provided in each room. Dial 9 for an outside line. In order to place a long distance phone call, a telephone calling/credit card must be used. Incoming collect calls may not be accepted. The phone number is printed on the telephone jack.  Trash Policy The SFA Residence Life Department is responsible for the overall cleaning of the residence halls, but it is the camp director's responsibility to make sure campers' posters, trash and other items are removed from the rooms and taken to the dumpsters located outside of each building. The Housing Department will furnish each camper with a plastic trash bag when they check into the building and large bags at the end of each camp to gather all of the smaller bags for removal from the building.  Vending Vending machines are provided for the convenience and enjoyment of the camp participants. Empty or malfunctioning machines should be reported to the front desk as soon as possible. Camp participants who lose money in the machines should report to the Student Center Information Desk for a refund. Appendix 3 P-19  Windows Windows in residence halls must be closed at all times for air conditioning systems to function properly. Window screens may not be removed by residents. Dining Service Meal and hall access cardstickets to be used by camps will be enclosed in the camp packet according to the estimated number stated on the reservation form at a price per card. As a general rule, 10% extra meal tickets will be included to handle lost and damaged cards at no charge. Meal cards are numbered for use in assignment. If a card is lost, the coordinator's office may be notified immediately, and SFA Dining Services will be alerted to watch for the lost card. To facilitate quick access to the cafeteria when several large groups are on campus simultaneously, meal times should be staggered. Special banquets in the student center can be arranged through the coordinator's office according to student center policies. SFA Dining Services will charge the camp for all meals scheduled according to the Camp/Conference Reservation Contract based on the actual number of attendees at the camp. Only food prepared and delivered by the university’s contract vendor is acceptable on campus. Campus Recreational Facilities and Programs Requests for the use of campus recreational facilities and programs will be made in writing by the camp director on the Camp/Conference Reservation Contract. All facilities and programs for camps will be scheduled around academic classes, maintenance, campus recreation programs and field conditions. The Baker Pattillo Student Center Meeting Rooms Rooms in the student center are made available to summer camps on a first-come, first-serve basis following established student center policies. Only food purchased through the university is to be served in the student center meeting rooms. Arrangements for room set-up and food orders for banquets or meetings must be made in the coordinator's office two weeks prior to the event. Failure to notify the coordinator of a cancellation approximately 72 hours in advance of the scheduled activity will result in payment of the cost incurred by the student center or food service personnel. Student center decorating restrictions will be strictly enforced. The lounge areas are non-reservable areas during regular operating hours. Lounges are primarily intended for general use by the public. Appendix 3 P-20 Due to limited space in the student center, rooms will not be available for storage before the camp dates. Boxes shipped before the group's arrival to the campus must be held by the sponsoring department. Academic Buildings for Meeting Rooms The coordinator will be available to assist camp directors in reserving meeting spaces in academic buildings and auditoriums following policy guidelines for each building. For assistance, the camp director should specify dates, hours and group size on the reservation form. William R. Johnson Coliseum Reservations for use of the William R. Johnson Coliseum will be arranged by the coordinator following the university regulations for coliseum usage. A per-event fee may be charged. University Police/Parking Parking permits are required and should be coordinated through the Office of Parking and Trafficwill be available through the coordinator's office for campers bringing cars and buses to the SFA campus. Parking permits are to be displayed in the car window while on campus and disposed of after the camp is completed. If a group of parking spaces is needed, the coordinator will arrange with the University Police Department for an area to be marked off for the camp. Cross Reference: None Responsible for Implementation: Vice President for University Affairs Contact for Revision: Director of Student Services/Director of Student Center Forms: Medical Release and Consent Form (available in Student Center Administration); Camp/Conference Reservation Contract (available in Student Center Administration); Camp Director's Check List Form (available in Student Center Administration) Board Committee Assignment: Building & Grounds Appendix 3 P-21 Campus Facilities for Political Purposes (B-5) Original Implementation: April 27, 1970 Last Revision: October 12, 2009October 22, 2012 While the use of the facilities of the university for partisan political assemblies and meetings is not normally encouraged, the faculty and administration, as members of a learned and honorable profession, may properly exercise their acknowledged individual rights and obligations of citizenship free of university discipline or censorship. Individual political candidates and their election organizations are not permitted to reserve a university facility for campaign activities. However, if a candidate is invited by a university group, then he/she may appear in the facility, provided that the group extending the invitation is responsible for reserving the facility and meeting the costs related to the event. No member of the Board of Regents shall undertake to influence the political opinions of personnel subject to the board’s jurisdiction, but such personnel are requested to exercise their individual rights or citizenship or academic freedom in a responsible manner reasonably calculated not to identify or associate with the university. A university employee may not use his/her official authority or influence to coerce the political action of a person or body. Cross Reference: Board of Regents Rules and Regulations; Tex. Gov’t Code § 556.004 Responsible for Implementation: President Contact for Revision: President Forms: None Board Committee Assignment: Building and Grounds Appendix 3 P-22 Continuing Education (A-32) Original Implementation: March 9, 1978 Last Revision: April 19, 2011October 22, 2012 The purpose of continuing education and community/public service activities is to support the public service and outreach responsibilities of theStephen F. Austin State uUniversity. Definitions Continuing education (CE) activities are defined as consists of organized public activities offeredsponsored by the university, or a constituent unit of the university,a unit that provide participants some type of non-academic credit, continuing education credit or certification for participants such as enrichment experiences, workshops, short courses, certificate courses, training, life-long learning, leisure learning, camps, or travel. Continuing education activities may include short courses, seminars, workshops, training sessions, conferences or institutes.A reasonable fee may be charged for these activities. Community/public (CP) service activities are organized public educational activities sponsored by the university, or a constituent unit of the university, that do not offer any type of credit or certification. Community/public service activities may include camps, speaker series, travel experiences or leisure learning. Class projects/assignments, internships/practicums, class guest lectures, individual faculty presentations for community organizations, student activity programs or student organization service projects are not covered by this policy. Responsibility for Continuing Education at the University Units offering continuing educationCE/CP activities shall have administrative, assessment and programming responsibilities. All activities must be submitted by the administrator to his or her supervisor for approval. A reasonable fee may be charged for CE/CP activities. To bear the name of the university or any of its units, fees for all continuing education activities must be received and accounted for by university accounting procedures. Facilities for continuing educationCE/CP activities must be reserved in accordance with university policies, covering Use of University Facilities (B-1) and Academic Space for Appendix 3 P-23 Non-Academic Activities (B-2). Academic programs will always be given priority for the use of university facilities. Awarding Continuing Education Units When activities result in the awarding of non-academic credit, such as Continuing Education Units, it is the responsibility of the unit offering the continuing education activity to meet the guidelines established by the Texas Higher Education Coordinating Board and the Southern Association of Colleges and Schools. It is the responsibility of the unit awarding the non-academic credit to establish a transcript and keep the records on file. Oversight of Continuing Education Activities and Programs While dDirect oversight of continuing educationCE/CP activities and programs is the responsibility of the units offering the programs,activity. dDeans and non-academic directors must approve CE/CP activities before these activities are conducted. The Continuing Education and Community/Public Service Activities Approval form is posted at the Academic Affairs website; this form should be submitted to the appropriate dean or director’s office at least two weeks before the activity occurs. Deans and non-academic directors are responsible for collecting copies of the records of suchCE/CP activities and programs offered within their areas of responsibility and for submitting these records annually to the office of the vice president to whom they report. The appropriate vice president will ensure that all ongoing continuing education programs and CE/CP activities are assessed on a regular basis and that assessment results are used to improve the programs. Awarding Continuing Education Units When activities result in the awarding of non-academic credit, such as Continuing Education Units, it is the responsibility of the unit offering the continuing education activity to meet the guidelines established by the Texas Higher Education Coordinating Board and the Southern Association of Colleges and Schools. It is the responsibility of the unit awarding the non-academic credit to establish a transcript and keep the records on file. Cross Reference: Use of University Facilities (B-1); Academic Space for Non-Academic Activities (B-2); Tex. Educ. Code § 54.545 Responsible for Implementation: President and Provost and Vice President for Academic Affairs Appendix 3 P-24 Contact for Revision: Provost and Vice President for Academic Affairs; Vice President for University Affairs; Vice President for Finance and Administration Forms: NoneContinuing Education and Community/Public Service Activities Approval Board Committee Assignment: Academic and Student Affairs Appendix 3 P-25 Faculty/Staff Athletic Ticket Purchases (F-12) Original Implementation: Unpublished Last Revision: October 12, 2009October 22, 2012 University faculty, staff, retirees, their spouses and dependent children are entitled to purchase discounted season tickets for home athletic events. Season ticket applications are mailed annually to each faculty/staff member who purchased tickets the previous year. Information on season tickets is distributed annually to each employee via a campus–wide email and in SFA TodayPackets of applications are also mailed to each departmental office for distribution to department members in order to contact as many new faculty/staff members as possible and to offer faculty/staff who did not purchase tickets the previous year a chance to do so. Faculty/staff season tickets are not honored during post-season play. Cross Reference: None Responsible for Implementation: President Contact for Revision: Director of Intercollegiate Athletics Forms: None Board Committee Assignment: Academic and Student Affairs Appendix 3 P-26 Food Services (C-13.5) Original Implementation: January 20, 1998 Last Revision: October 12, 2009October 22, 2012 The university is committed to providing students the opportunity to participate in the selection and evaluation of the food service provider. Students are encouraged to participate by attending regularly scheduled meetings of the Food Service Advisory Committee. The advisory committee provides the director of student services and food service provider with immediate feedback on issues and concerns of the students. Cross Reference: None Responsible for Implementation: Vice President for University Affairs Contact for Revision: Director of Student Services/Director of Student Center Forms: None Board Committee Assignment: Academic and Student Affairs Appendix 3 P-27 Fraud (C-46) Original Implementation: Replaces Reporting Fiscal Misconduct Policy C-46 implemented January 28, 1997 Last Revision: October 12, 2009October 22, 2012 INTRODUCTION This policy establishes procedures and responsibilities for detecting, reporting, and resolving instances of known or suspected fraudulent activity. The intent of the policy is to protect the assets and interests of the university, prescribe a coordinated approach toward investigation and resolution of fraudulent activity, and outline specific responsibilities for individuals responding to the investigation of a fraudulent activity. Retaliation for filing a good faith report regarding suspected fraudulent activity is prohibited by this policy, and is cause for disciplinary action, up to and including termination. DEFINITIONS A. University - Stephen F. Austin State University (SFA) and all of its components, regardless of the source of funding. B. Employee - All persons receiving compensation from the university, including faculty, staff, and students. The term also includes any volunteer who provides services to the university through an official arrangement with the university or a university organization. C. Management - Any administrator, manager, account holder, director, supervisor or other individual who manages or supervises funds, assets, or other resources, including human resources. D. Fraud - Fraud is defined as aA representation usually of fact about a material point which is intentionally, knowingly, or recklessly false which is believed and acted upon byto induce a victimanother to act to the victim's damagehis or her detriment. E. Fraudulent Activities/Fiscal Misconduct - Defalcation, misappropriation, and other fiscal irregularities or improprieties meeting the definition of fraud in D) above including but not limited to: 1. dishonest, illegal, or fraudulent acts involving university property 2. forgery or alteration of documents including checks, drafts, promissory notes, securities, purchase orders, budgets, etc. 3. forgery or unauthorized alteration by employees of employee benefit or salary-related items such as time sheets, payroll documents, billings, claims, surrenders, assignments, or changes in beneficiary 4. forgery or unauthorized alteration by employees of student- related items such as grades, transcripts, loans, fees, financial aid applications, or financial aid records Appendix 3 P-28 5. misappropriation of funds, securities, supplies, or any other asset of the university 6. illegal or fraudulent handling or reporting of money transactions 7. employee acceptance or solicitation of any gift, favor, or service that might reasonably tend to influence the employee in the discharge of his or her official duties 8. theft, destruction, or disappearance of records, furniture, fixtures, equipment, or other records, or other assets 9. misrepresentation of information on documents 10. authorizing or receiving payment for goods not received or services not performed 11. knowing, reckless, or intentional inaccuracies in the maintenance of books and records or irregularities in financial reporting 12. any apparent violation of federal, state, or local laws related to dishonest activities or fraud 13. any similar or related activity. F. Suspected Fraudulent Activity - A reasonable belief or actual knowledge that fraudulent activity has or is occurring. Failure to show an actual diversion of assets or loss shall not be considered unreasonable belief. MANAGEMENT RESPONSIBILITY Management is responsible for detecting fraudulent or related dishonest activity in their areas of responsibility. Management is responsible for establishing and maintaining a system of internal control that provides reasonable assurance that improprieties are prevented and detected. Each manager should be familiar with the types of improprieties that might occur in his or her area and be alert for any indication that such a defalcation, misappropriation, or other fiscal irregularity has occurred. When an impropriety is suspected, management should determine if an error or mistake has occurred or if there may be dishonest or fraudulent activity. Management will support the university's fiduciary responsibilities and will cooperate with auditors and law enforcement agencies in the detection, investigation, and reporting of criminal acts, including prosecution of offenders. Every effort should be made to recover university losses. REPORTING SUSPECTED IMPROPRIETY OR FRAUDULENT ACTIVITY Any employee of the university who knows of or suspects fraudulent activity or improprieties must promptly:has the option to report suspected activity as follows:  notify his or her immediate supervisor  and/onotifyr one of the following university employeesinvestigative units: the Department director of Audit audit Servicesservices, the Office of General general Counselcounsel, the University Police Departmentchief of police, or the Department director of Human human Resourcesresources; or. The unit Appendix 3 P-29 contacted shall contact the remaining three units as appropriate to establish the necessary investigative team and procedures.  file a report using the university’s anonymous reporting system coordinated by the Department of Audit Services for reporting dishonest or fraudulent activity. The university’s reporting system, which is hosted by a third party, can be accessed 24 hours a day by calling 1-866-294-9539 or clicking the “Report Fraud” link on the SFA homepage.  file a report with the Texas State Auditor’s Office by calling 1-800-TX-AUDIT (892-8348) or visiting their website at http://sao.fraud.state.tx.us/Default.aspx. All of these reporting options are listed on the university’s website homepage www.sfasu.edu under the report fraud tab. Great care must be taken in the reporting and investigation of suspected improprieties or irregularities to avoid incorrect accusations or alerting suspected individuals that an investigation or audit is underway, and also to avoid making statements which could provide a basis for a lawsuit for false accusation or other offense. The reporting individual should not: 1. contact the suspected individual to determine facts or demand restitution; or 2. discuss the facts, suspicions, or allegations associated with the case with anyone, unless specifically directed to do so by the director of audit services, university police chief, general counsel, or director of human resources. Department of Audit Services, University Police Department, or Office of the General Counsel or Department of Human Resources. 3.2.To the extent permitted by the applicable provisions of the Texas Open RecordsPublic Information Act, confidentiality of those reporting dishonest or fraudulent activities will be maintained. However, the confidentiality cannot be maintained if that individual is required to serve as a witness in legal proceedings. The university maintains an anonymous reporting system coordinated by the Department of Audit Services for reporting dishonest or fraudulent activity. The university’s reporting system, which is hosted by a third party, can be accessed 24 hours a day by calling 1-866- 294-9539 or visiting the website at https://secure.ethicspoint.com/domain/en/report_custom.asp?clientid=12866 clicking the “Report Fraud” link on the SFA homepage. In addition, activities can be reported to the State Auditor’s Office by calling 1-800-TX-AUDIT (892-8348) or visiting their website at www.sao.state.tx.us/SIUhttp://sao.fraud.state.tx.us/Default.aspx. INVESTIGATION Prior to conducting an investigation, the following appropriate personnel will communicate as appropriate necessary to establish the necessary investigative team: general counsel, director of audit services, university chief of police, and director of human resources. Appendix 3 P-30 The Department of Audit Services will supervise all audits of allegations of defalcation, misappropriation, and other fiscal irregularities. The Department of Audit Sservices will have full and unrestricted access to all necessary records and personnel. All university furniture and contents, including desks and computers, are open to inspection when there is reasonable suspicion of a dishonest or fraudulent activity which makes such inspection appropriate; there is no assumption of privacy. General counsel shall be contacted before inspection of desks and computers beyond inadvertent or official access. Every effort should be made to effect recovery of university losses. All affected departments and/or individuals shall cooperate fully with the investigative team to identify whether or not actual fraudulent activity has occurred. The investigative team unit shall update university administration of on the progress of all investigations. The scope of and individuals subject to investigations are to be considered in determining the extent and nature of notification. All requests for information and assistance related to investigations conducted by auditors of federal and state agencies, which are concerned with potential dishonest or fraudulent activities within the university, shall be forwarded immediately to the director of audit services for consultation with the general counsel. All inquiries from the suspected individual, their representative, or their attorney shall be directed to the general counsel without further comment. All reproduction of documents, evidence, and reports shall be performed within the secured work area of the University Police Department or Department of Audit Services. Any requests to release or review such documents will be coordinated through the general counsel. In order to protect the reputations of innocent persons initially suspected of wrongful conduct and to protect the university from potential civil liability, the results of investigations and audits will not be disclosed or discussed with anyone other than authorized representatives of law enforcement and/or regulatory agencies and persons associated with the university who have a legitimate need to know such results in order to perform their duties and responsibilities, subject to provisions of the Texas Public Information Act. The results of all investigations will be reported to the president of the university or to the chair of the regents’ Finance and Audit Committee when considered necessary. Allegations of Defalcation, Misappropriation, and other Fiscal Irregularities The director of audit services will supervise all audits of allegations of defalcation, misappropriation, and other fiscal irregularities. The Department of Audit Services will have full and unrestricted access to all necessary records, including e-mail, and personnel. All university equipment, furniture, and contents, including desks and Appendix 3 P-31 computers, are open to inspection when there is reasonable suspicion of a dishonest or fraudulent activity which makes such inspection appropriate; there is no assumption of privacy. The general counsel shall be contacted before inspection of desks and computers beyond inadvertent or official access. Every effort should be made to effect recovery of university losses. Pursuant to Section 321.022 of the Texas Government Code, the president shall file a report with the Office of the State Auditor if he has reasonable cause to believe that money received from the state by the university may have been lost, misappropriated, or misused, or that other fraudulent or unlawful conduct has occurred in relation to the operation of the department or entity. All records of a communication by or to the state auditor in this regard are legally considered audit working papers of the state auditor. Allegations of Criminal Activity When an audit reveals suspected criminal activity, or an audit is initiated due to an allegation of criminal activity, the university police chief of police will be notified immediately and the audit will proceed under his direction. In order to avoid the use of investigative techniques that might prevent evidence from being used in a criminal prosecution, the university chief of police will coordinate the criminal investigation once probable criminal activity has been detected. The Department of Audit Services shall assist the university police in investigations of suspected defalcation, misappropriation, and other fiscal irregularities that require accounting and auditing knowledge of university records. When an audit involves allegations or reveals suspected criminal activity which may constitute a felony offense, the university chief of police shall, when appropriate, immediately notify the president or his designee. The director of audit services shall keep the university chief of police informed regarding the progress of the audit. The university chief of police, directorDepartment of aAudit sServices, and gOffice of the General cCounsel will coordinate assistance provided to state, federal, and local law enforcement agencies in connection with felony fraud investigations. All requests for information and/or assistance from such agencies, received by any other component or related entity of the university, shall be immediately forwarded to the university police for determination and handling. All reasonable assistance will be given to law enforcement agencies when requested. All requests for information and assistance related to investigations conducted by auditors of federal and state agencies, which are concerned with potential dishonest or fraudulent activities within the university, shall be forwarded immediately to the director of audit services for consultation with the Office of the General Counsel. Appendix 3 P-32 In order to protect the reputations of innocent persons initially suspected of wrongful conduct and to protect the university from potential civil liability, the results of investigations and attendant audits will not be disclosed or discussed with anyone other than authorized representatives of law enforcement and/or regulatory agencies and only those persons associated with the university who have a legitimate need to know such results in order to perform their duties and responsibilities, subject to provisions of the Texas Open Records Act. Pursuant to Section 321.022 of the Texas Government Code, the president shall file an appropriate report with the Office of the State Auditor. All records of a communication by or to the state auditor in this regard are legally considered audit working papers of the state auditor. Audits revealing violations of the Penal Code for which an audit report will be issued shall be reduced to final report form only after consultation by university police with the local prosecutor or the Office of the General Counsel to ensure that appropriate documentation of the facts has been achieved in order to permit appropriate personnel action, protect innocent persons, support appropriate civil or criminal actions, document claims made pursuant to applicable fidelity bonds, preserve the integrity of criminal investigation and prosecution, and avoid unnecessary litigation. Allegations Involving Employment Conditions The director of human resources will supervise or assist with all investigations involving allegations that arise by nature of one’s employment that do not otherwise fall into one of the above categories. All inquiries from the suspected individual, their representative, or their attorney shall be directed to thegOffice of the General Counsel without further comment. All reproduction of documents, evidence, and reports shall be performed within the secured work area of the University Police Department or Office of Audit Services. Any requests to release or review such documents will be coordinated through the Office of the General Counsel. When an audit initi